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Principles of Behavior Modification
Albert Bandura STANFORD UNIVERSITY

Principles
of
Behavior
Modification

HOLT, RINEHART AND WINSTON, INC.

New York •
Chicago San Francisco Atlanta
• •

Dallas •
Montreal Toronto London Sydney
• • •
to Ginny, Mary, and Carol

Copyright © 1969 by Holt, Rinehart and Winston, Inc.

All rights reserved
Library of Congress Catalog Card Number: 74-81173
SBN: 03-081151-1
Printed in the United States of America
987654321
Preface

This book presents basic psychological principles governing human

behavior within the conceptual framework of social learning. Over the
years an impressive body of knowledge about the mechanisms through
which behavior is acquired and modified has been accumulated. But de-
spite this vigorous growth of research on human behavior, a number of
psychological processes that are highly influential in human functioning
have been overlooked or only partially investigated. This volume reviews
the recent theoretical and experimental advances in the field of social
learning. It gives special emphasis to the important roles played by vicar-
ious, symbolic, and self-regulatory processes, which receive relatively little
notice even in most contemporary theories of behavior.
The worth of a psychological theory must be judged not only by how
well it explains laboratory findings but also by the efficacy of the be-
havioral modification procedures that it produces. Recent years have wit-
nessed widespread applications of methods derived from principles of
social learning to the modification of important social phenomena in
and other social settings. By requiring clear
familial, educational, clinical,
specification of treatment conditions and objective assessment of out-
comes, the social-learning approach presented in this book contains a
self-corrective feature that distinguishes it from change enterprises in
which interventions remain ill-defined and their psychological effects are
seldom objectively evaluated.
New social change procedures are by tradition enthusiastically pro-
moted, and it is not until after the methods have been applied for some
time by a coterie of enthusiasts that systematic tests of efficacy are con-
ducted. Usually the methods are then unceremoniously retired by subse-
quent controlled studies. Professional workers in this field have, therefore,
come to view any new approach as a passing fad. However, when labora-
tory tests of efficacy precede social applications, new methods are sub-
jected to close scrutiny at each stage of development, and those that
evolve are likely to produce outcomes sufficiently favorable to weather
rigorous evaluation. The successful results obtained by social-learning
procedures in carefully controlled studies justify optimistic expectations
for future developments of this approach. The numerous investigations
vi Preface

reported in this book also illustrate how understanding of major change

processes can be advanced by inventive research on socially significant
problems. Contrary to much of the current criticism, basic research need
not settle for inconsequential dependent measures.
This book is concerned not only with the validity of the principles set
forth but also with the conditions under which they can serve as an in-
strument for human advancement. The value issues that arise in the
applications of social-learning procedures to achieve various psycho-
logical changes are, therefore, closely examined, and special attention
is given to the effects of social practices on man's self-evaluation and
self -enhancement.

While this book was being written the author contributed chapters on
modeling processes to Volume II of Advances in Experimental Social
Psychology (Bandura, 1965) and to the Ciba Foundation Symposium:
The Role of Learning and Psychotherapy (Bandura, 1968). Chapter 3
contains a revised and updated version of some of the material that
originally appeared in the latter publications.
Many people contributed in one way or another to this venture. To
Ted Rosenthal and Rogers Elliott, who read preliminary versions of the
manuscript and made many valuable suggestions, I offer my sincere
thanks. I am also indebted to countless students and colleagues who have
helped through collaborative research and sharing of ideas to enhance the
value of what I have written. I owe a special personal debt to my former
student and colleague, Richard Walters, who died tragically at the height
of his productive career. Although he never read what I have written
here, our lively discussions during collaborative projects did much to
clarify some of the theoretical issues discussed in this book.
The preparation of this volume involved considerable work, and I

wish to express my gratitude to the people who helped lighten my labors.

I am especially grateful to Jane Crane for deciphering illegible draft ver-
sions and for many hours of painstaking effort in preparing the manuscript
for publication. Thanks are due to Robert O'Connor for his assistance
with drafting and photographic matters. I should also like to pay tribute

to Darlene Lapham for her remarkably efficient typing of the manuscript.

Finally, the dedication of this volume signifies my profound indebted-
ness to my family, who sacrificed many weekend activities and vacations
while I was absorbed in the task of writing this book.
Albert Bandura
Stanford, California
April 1969
Contents

PREFACE V

1 Causal Processes 1

Interpretation of Causal Processes lg

Social Learning as a Reciprocal Influence Process 45
Symptom Substitution 48
Efficacy of Conventional Methods of
Behavioral Change $2
Summary 62
REFERENCES 63

2 Value Issues and Objectives 70

Behavioral Specifications of Objectives 73

Factors Impeding Specification of Objectives 76
Decision Processes in the Selection of Objectives gg
Summary 111
REFERENCES 113

3 Modeling and Vicarious Processes 118

Theoretical Conceptions of Observational Learning 120

Establishment of New Response Patterns
through Modeling 143
Vicarious Conditioning of Emotional Responsiveness 167
Vicarious Extinction 175
Inhibitory and Disinhibitory Effects of
Vicarious Experiences 192
Response Facilitating Effects of Modeling Influences ig6
viii Contents

Utilization of Modeling Principles in Planned

Sociocultural Change lgg
Summary 202
REFERENCES 204

4 Positive Control 217

Theoretical Interpretations of
Reinforcement Processes 217
Essential Components of Reinforcement Practices 225
Ethical Implications of Reinforcement Practices 234
Applications of Contingency Systems 242
Social Organizational Application of
Reinforcement Contingencies 261
Summary 282
REFERENCES 284

5 Aversive Control 293

Presentation of Negative Reinforcers 2g$

Applications of Aversive Contingency Systems 317
Removal of Positive Reinforcers 338
Summary 346
REFERENCES 348

6 Extinction 355

Interpretations of the Extinction Process 355

Extinction of Positively Reinforced Behavior 366
Extinction of Defensive Behavior 385
Summary 413
REFERENCES 414

7 Desensitization through Counter conditioning 424

Controlling Variables in Desensitization 432

Identification of the Stimulus Determinants of
Emotional Behavior 462
Neutralization of Threats in Symbolic or
Realistic Forms 472
 Contents

Antagonistic Activities in Counterconditioning 480

Physiological Accompaniments of Emotional Behavior 487
Summary 4Q0
REFERENCES 492

8 Aversive Counterconditioning 501

Development of Conditioned Aversion and Avoidance 502

Sexual Deviance 511
Modification of Symbolic Activities 525
Alcoholism 528
Ethical Considerations in Aversion Therapy 551
Summary 553
REFERENCES 555

9 Symbolic Control of Behavioral Changes 564

Role of Awareness of Contingencies in

Behavioral Change 564
Verbal Conditioning as a Function of Awareness 568
Interactive Effects of Cognitive and
Incentive Variables 577
Symbolic Control of Classical Conditioning Phenomena ffg
Implications of Symbolic Control for
Behavioral Modification 584
Discrepancy between Response Systems and
the Unconscious 587
Attitudinal Consequences of Behavioral and
Affective Changes 5g$
Strategies of Attitude Change 599
"Internalization" and Persistence of
Behavioral Changes 615
Stabilization of Behavioral Changes through
Development of Self-Regulatory Functions 6ig
Summary 622
REFERENCES 624

AUTHOR INDEX 633

SURJECT INDEX 65I
CHAPTER Causal Processes

The development of and procedures of behavioral

principles
change is largely determinedby the model of causality to which one
subscribes. The methods used to modify psychological phenomena there-
fore cannot be fully understood independently of the personality theory
upon which they The major differences between rival theo-
are based.
retical orientations aremost strikingly revealed in their interpretations
of grossly deviant behavior. Consequently the systems that have been
advanced to explain these perplexing conditions will be considered in
some detail here, although this book is only partially concerned with
issues relating to deviant behavior.
The earliest conceptions of psychopathology viewed behavioral anom-
alies as external manifestations of evil spirits that entered the victim's
body and adversely affected his behavior. Treatment accordingly was
directed toward exorcising demons by various methods, such as cutting a
hole in the victim's skull, performing various magical and religious rituals,
or brutally assaulting —physically and socially —the bearer of the perni-
cious spirits. Hippocrates was influential in supplanting the demon ologi-
cal conceptions of deviant behavior by relabeling it disease rather than
demonic manifestations. Wholesome diets, hydrotherapy, bloodletting,
and other forms of physical intervention, some benign, others less humane,
were increasingly employed as corrective treatments.
Although psychological methods gradually replaced physical proce-
dures in modifiying deviant response patterns, the analogy of physical
health and disease nevertheless continued to dominace theories of psy-
chopathology. In this conceptualization, behavioral patterns that depart
widely from accepted social and ethical norms are considered to be
 CAUSAL PROCESSES

derivatives orsymptoms of an underlying disease. Modification of social

deviance thus became a medical specialty, with the result that persons
exhibiting atypical behavior are labeled "patients" suffering from a
"mental illness," and they generally are treated in medically oriented
facilities. The disease concepts are likewise indiscriminately applied
even to social phenomena,evidenced by the frequent designation of
as
cultural response patterns as "healthy" or "sick." Had Hippocrates rep-
resented behavioral anomalies as products of idiosyncratic social-learn-
ing experiences rather than as expressions of a somatic illness, the con-
ceptualization and treatment of divergent response patterns might have
taken an entirely different course.
A quasi-disease model is still widely employed in explanations of
grossly deviant behavior, but the underlying pathology is generally
considered to be psychic rather than ncurophysiological in nature. This
conceptual scheme became further confused when the appropriateness
of the disease analogy to social behavior was increasingly challenged
(Szasz, 1961). Most personality theorists eventually discarded the notion
that deviant behavior is a manifestation of an underlying mental disease,
but they nevertheless unhesitatingly label anomalous behaviors as symp-
toms and caution against the dangers of symptom substitution. In these
theories, the conditions supposedly controlling behavior continue to
function analogously to toxic substances in producing deviant responses;
however, the disturbing agents comprise a host of inimical psychodynamic
forces (for example, repressed impulse's, energized traits, psychic com-
plexes, latent tendencies, self-dynamisms, and other types of energy
systems) somewhat akin to the pernicious spirits of ancient times. Many
contemporary theories of psyehopathology thus employ a quasi-medical
model fashioned from an amalgam of the disease and demonology con-
ceptions, which have in common the belief that deviant behavior is a
function of inimical inner forces. Consequently, attention is generally
focused, not on the problem behavior itself, but on the presumably in-

fluential internal agents that must be exorcised by "catharsis," "abreac-

tion," and acquisition of insight through an extended interpretive process.
Indeed, direct modification of so-called symptomatic behavior is con-
sidered not only ineffective but actually dangerous, because, it is held,
removal of the symptom has no effect upon the underlying disorder,
which will manifest itself again in a new, possibly more debilitating symp-
tom.

SOCIAL LABELLING OF DEVIANT BEHAVIOR

Although most psychotherapists agree that direct "symptom" removal

is them would acknowledge engaging in such
inadvisable and few of
forms of treatment, remarkably little attention has been devoted to the
Causal Processes 3

definition of what constitutes a "symptom." Categorizing a pattern of

behavior as symptomatic of an underlying disorder actually involves a
complex set of criteria, most of which are quite arbitrary and subjective.
Whether specific actions are called normal or symptomatic expressions
will depend upon whether certain social judges or the person himself
disapproves of the behavior being exhibited. Since symptom labeling pri-
marily reflects the evaluative responses that a given behavior evokes from
others, rather than distinguishable qualities of the behavior itself, an
identical response pattern may be viewed as a pathological derivative or
as wholesome behavior by persons whose judgmental orientations differ.
Aggressiveness in children, for example, may be positively reinforced
and regarded as a sign of masculinity and healthy social development by
some parents, while the same behavior is generally viewed by educational,
legal, and other societal agents as a symptom of a personalitv disorder
(Bandura, 1960; Bandura & Walters, 1959).
The designation of behavior as pathological thus involves social
judgments that are influenced by, among other factors, the normative
standards of persons making the judgments, the social context in which
the behavior is exhibited, certain attributes of the behavior, and numerous
characteristics of the deviator himself. An adequate theory of deviant be-
havior must therefore be concerned with the factors determining evalu-
ative judgments. Unfortunately, in spite of widespread use of diagnostic
and the potentially serious consequences of labeling per-
classifications
sons as mentallv disturbed, there has been surprisinglv little systematic
study of the factors governing such judgmental behavior.
Psychopathology is characteristicallv inferred from the degree of de-
viance from the social norms that define how persons are expected to
behave at different times and places. Consequently, the appropriateness
of symbolic, affective, or social responses to given situations constitutes
one major criterion in labeling "symptomatic" behavior. Departures from
normative standards that do not inconvenience or interfere with the well-
being of others are usually tolerated; deviations that produce rewarding
consequences for the members of a society, as in the case of technologi-
cal inventions and intellectual and artistic innovations, may be actively
promoted and generously rewarded. On the other hand, deviance that
generates aversive consequences for others elicits strong societal dis-
approval, is promptly labeled abnormal, and generally is met by coercive
pressures to eliminate it.

The appropriateness criterion poses serious problems in societies,

such as our own, that are differentiated into many subcultures whose
members subscribe to divergent behavioral norms and therefore do not
agree on what is suitable social behavior. Members of social groups
who want rewards that are highly valued in the culture but lack the
 CAUSAL PROCESSES

means of obtaining them in legitimate ways (Cloward & Ohlin, 1960;

Merton, 1957) are often forced to resort to socially unacceptable activities.
In these instances, antisocial patterns are not only normatively sanctioned,
but the social environment provides these persons ample opportunities,
through appropriate reinforcement contingencies and role models, to
develop and to perfect deviant modes of behavior. According to the
prevailing normative structure of these subcultures, skillfully executed
antisocial behavior represents emulative rather than sick behavior and is
governed by the same types of variables that control the prosocial
response patterns displayed by members of the larger society.
Other subgroups are and therefore "sick"
classified as social deviants,
or "crazy," not because they adhere to culturally disapprovedmeans of
gaining highly rated objectives but because they withdraw from the
dominant social system and reject the basic cultural goals themselves.
The conforming majority within a society may label nonconformist groups,
such as "Bohemians," "beatniks," and "hippies," that refuse to strive for
the goals highly valued in the culture as exhibiting maladaptive behavior.
From the perspective of the deviants, the life style of conforming mem-

bers is symptomatic manifestation of an overcommercialized, "sick" so-

a
ciety. Thus the same pattern of behavior may be deemed a symptom by
one social group but judged healthy and positively reinforced by persons
who adhere to a different code of behavior. Similarly, when a society
radically alters its social and legal norms, cither the presence or absence
of the same responses may be judged inappropriate, and, consequently,
labeled symptoms of an underlying pathology. Thus, a citizen socialized
in other respects who commits a brutal homicide will be diagnosed as
suffering from a serious mental disorder, but a military recruit's inability
to behave homicidally on the battlefield will likewise be viewed as
symptomatic of a "war neurosis." The latter example further illustrates how
behavior can come to bc^ thought of as symptomatic because of changes
in societal norms rather than because of a psychopathology reflected in
the behavior itself.

The discussion thus far has been concerned with the deviant behavior
of members of groups, who mutually support and reinforce each other's
ideologies and actions. Some individuals display gross behavioral eccen-
tricities that appear totally inexplicable; persons from different sub-
groups who do not share the same normative systems are apt to view
these eccentricities as pathological manifestations. Even in these in-
stances, when the idiosyncratic social-learning history for the behavior is

known no need to assume an underlying disease process. Lidz,

there is

Cornelison, Terry, & Fleck (1958) report a case, for example, in which
sibling schizophrenics believed, among other strange things, that "dis-
agreement" meant constipation. This clearly inappropriate conceptual be-
Causal Processes 5

havior was the result of exposure to bizarre social-learning contingencies

and not an expression of a mental illness. Whenever the sons disagreed
with their mother, she informed them that they were constipated and re-
quired an enema. The boys were then disrobed and given anal enemas, a
procedure that dramatically conditioned an unusual meaning to the word
"disagreement." The cases cited by Lidz and his associates (Lidz, Fleck,
& Cornelison, 1965) provide compelling evidence of development of de-
lusions, suspiciousness, grandiosity, extreme denial of reality, and other
forms of "schizophrenic" behavior through direct reinforcement, and of
their social transmission by parental modeling of incredibly deviant be-
havior patterns.
In addition to the influence of normative commitments in determining
judgmental responses, certain properties of behavior readily invite one
to label an emotional disorder symptomatic. Responses of high magnitude,
for instance, often produce unpleasant experiences for others; they are
therefore more be considered pathological manifestations than
likely to
are responses of low or moderate intensities. A youngster who is continu-
ally wrestling other children will generally be viewed as exhibiting
youthful exuberance; in contrast, a child whose physically aggressive
behavior is more forceful and hurtful will in all likelihood be regarded as
emotionally disturbed. Athough pervasive and intense emotional responses
may be reliably categorized, disagreements are apt to arise in the labeling
of behavior that falls at less extreme points on the response-intensity
continuum. The line separating normality and abnormality may be
variously located depending upon the tolerance limits for aversiveness of
different judges. Even if be achieved
a high degree of consensus could
in designating the acceptable limits of amplitude for various behaviors, no
evidence exists that emotional responses of high intensity are mediated
by psychopathological internal processes, whereas similar responses of
lesser strength are governed by nonpathological internal processes.
Behavioral deficits are also frequently interpreted as symptoms of
emotional disorder, particularly when the deficits produce hardships and
aversiveness for others. Adequately endowed children, for example, who
are incontinent and who exhibit marked deficiencies in interpersonal,
verbal, and academic skills, and adults who are unable to meet social,
marital, and vocational task requirements tend to be labeled as emotion-
ally disturbed. It is generally assumed, moreover, that the greater the
deficits, more extensive the underlying psychopathology. The arbitrary
the
and relativistic nature of the deficit or competence criterion would be-
come readily apparent if one were to vary the minimum standards of
competence required in any given situation. If the standards were set
at a comparatively low level, practically all members of a society would
be judged competent and healthy, whereas the vast majority would
 CAUSAL PROCESSES

suddenly acquire a psychopathology if exceedingly high standards were

adopted. In the latter case, therapists and diagnosticians might devote

much time to locating the source of pathology within the individuals.
The intention attributed to an action will affect its categorization by
others as a symptomatic expression. When the variables governing physi-
cal and biological phenomena remained unknown, a host of internal
forces and deities were invoked as causal agents. As scientific knowledge
increased, these fanciful driving forces were replaced by explanatory
concepts involving manipulable variables. Similarly, interpretations of
-

psychological phenomena assume pathological inner agents in

often
cases where deviance appears unintelligible. If a person engages in dis-
approved behavior to attain generally valued material objects, his activi-
ties — —
being readily understandable are less likely to be regarded as
manifestations of emotional disease than if his deviant behavior has no
apparent utilitarian value. Delinquents who strike victims on the head to
extract their wallets expediently are generally labeled semiprofessional
thieves exhibiting income-producing instrumental aggression. By con-
trast, delinquents who simply beat up strangers but show no interest in
their victims' material possessions are supposedly displaying emotional
aggression of a peculiarly disturbed sort. It is evident that in many cases
of so-called nonutilitarian aggression, the behavior is highly instrumental
in gaining the approval and admiration of peers and in enhancing status
in the social hierarchy of the reference group. Peer-group approval is

often more powerful than tangible rewards and

as an incentive for,
reinforcer of, aggressively deviant behavior (Buehler, Patterson, and
Furniss, 1966).
The influential role of social reinforcement in regulating dangerous,
senseless behavior is clearly revealed in a field study by Yablonsky ( 1962),
who found that the dominant reinforcement contingencies in many de-
linquent gangs have shifted from utilitarian antisocial activities to de-
and apparently indifferent manner
structive assaults executed in a "cool"
on persons and property. The way in which aggression has taken on
status-conferring value and in which threat of loss of "rep" may compel
a person to engage in a homicidal assault is graphically illustrated in the
following excerpt from an interview with one of the boys studied by
Yablonsky.

"Momentarily I started to thinking about it inside; I have my mind

made up I'm not going to be in no gang. Then I go on inside. Something
comes up, then here comes all my friends coming to me. Like I said

before, I'm intelligent and so forth. They be coming to me —then they

talk to me about what they gonna do. Like, 'Man, we'll go out there
and kill this cat.' I say, 'Yeah.' They kept on talkin'. I said, 'Man, I just
Causal Processes 7

gotta go with you/ Myself, I don't want to go, but when they start talkin'
about what they gonna do, I say, 'So, he isn't gonna take over my rep.
I ain't gonna let him be known more than me.' And I go ahead [p. vii]."

External contingencies of reinforcement rather than internal emotional

disease also appear to be the major determinants of the behavior of
another youth involved in a gang killing: "If I would of got the knife,

I would have stabbed him. That would have gave me more of a build-up.
People would have respected me for what I've done and things like
that. They would say, There goes a cold killer' [p. 8]." Similar reinforce-

ment contingencies operated in the practice of a gang apprehended that

used attacks upon people without provocation as its main admissions
requirement. Each physical assault, which had to be observed by a club
member to be valid, was valued at 10 points; and a total of 100 points was
required for full-fledged membership (San Francisco Chronicle, 1964).
It should be noted in passing that prosocial approval-seeking behavior
like athletic achievements or musical accomplishments, which may
likewise have no apparent utilitarian value, is seldom labeled as emotion-
ally disturbed behavior. Certain subgroups simply value and reward
"stomping" more highly than musical virtuosity.
skillful

The instrumental versus emotional dichotomy, therefore, appears

primarily to reflect differences in the types of rewards sought, and not
basic differences in the purposiveness of the behavior itself, or in the
nature of the mediating internal events. Since some members of a society
are likely to be brought up under atypical contingencies of social rein-
forcement, events which are ordinarily neutral or aversive for others may
acquire a strong positive valence; consequently, the puzzling behavior
exhibited by these individuals may appear to have little or no instrumental
value, and thus tend to be explained by reference to internal psycho-
pathological processes.
Certain behavioral requirements are prescribed according to a per-
son's age, sex, social position, occupation, race, ethnic origin, or religion.
Therefore personal attributes also enter into social judgment of behavior
that deviates from role demands. For example, behavior considered to
be normal at an early age may be
regarded as a symptom of personality
disturbance later, is very appropriate, in
as in the case of enuresis. It
this connection, to repeat Mowrer's (1950) query: "And when does

persisting behavior of this kind suddenly cease to be normal and become

a symptom [p. 474]?" Or consider the attribute of sex. The differential
cultural tolerance for cross-sex behavior displayed by males and females
illustrates the role of sex characteristics in the assignment of sympto-
matic status to deviant behavioral patterns. The wearing of female apparel
by males is considered to be indicative of a serious psychological dis-
 CAUSAL PROCESSES

order, requiring prompt legal and psychiatric attention. On the other

hand, females may adopt masculine garb, hair styles, and a wide range
of characteristically masculine response patterns without being labeled
as mentally disturbed. Since masculine role behavior occupies a position
of relatively high prestige and power in our society and often is more
generously rewarded than feminine role behavior, the emulation of
masculine tendencies by females is more understandable and, therefore,
less likely to be interpreted by reference to disease processes.
There is another side to the influence of personal attributes on judg-
mental responses. The social-learning background and characteristics
of the person making the judgments may significantly affect his designa-
tion of particular behaviors as indicative of mental health or psychic
pathology. Spohn (1960) found that therapists' social values were re-
lated to their mental health judgments of patients' behavior that reflected
similar value dimensions: that is, therapists thought the patients more like

themselves were the healthier ones.

Although the presence of psychic illness is frequently judged in terms
of deviance from particular social norms, in many cases it is primarily
based on As Terwilliger & Fiedler (1958) have shown,
self-definition.
persons often label themselves as emotionally disturbed, whereas others
may judge them to be functioning satisfactorily within the prevailing
social norms. Evaluative discrepancies of this type typically arise when
persons impose excessive demands upon themselves and suffer subjective
1

distress as a result of failure to meet self-imposed standards. A com-

prehensive theory of deviance must take into consideration self-reactions
as well as societal reactions to one's behavior.
It is apparent from the foregoing discussion that the categorization of
behavior as symptomatic of an underlying pathology depends upon a
host of subjective criteria, and as a consequence, the same behavior may
be characterized as "healthy" or "sick" by different judges, in different
social contexts, and on the basis of performers' social characteristics. It
is true, of course, that questions of value and social judgment arise also

in the diagnosis of physical disorders. In such cases the symptom-disease

model is quite appropriate since internal organic pathologies do in fact
existand can be verified independently of their peripheral manifestations.
Brain tumors and dysfunctions involving respiratory, circulatory, or
digestive organs are observable events. Where deviant behavior is con-
cerned, analogy with the symptom-disease model is misleading because
there are no infected organs or psychic disease entities that can be identi-
fied as causal agents. The psychic conditions that are assumed to underlie
behavioral malfunctioning are merely abstractions from the behavior. In
the disease analogy these abstractions are not only given substance and
existence independent of the behavior from which they were inferred,
 .

Causal Processes 9

but they are then invoked as the causes of the same behavioral referents.
For these reasons, so-called symptomatic behavior can be more ade-
quately explained in terms of social learning and value theory than
through inappropriate medical analogizing. An extended account of a so-
cial-learning taxonomy of behavioral phenomena generally subsumed un-
der the term "psychopathology" is presented elsewhere ( Bandura, 1968 )
The preceding discussion reviewed some of the principal factors deter-
mining the attribution of sickness to deviant behavior. Similar social
judgment processes are, of course, involved in the attachment of de-
scriptive labels such as aggression, altruism, dependency, or achievement
to particular response patterns.

HYPOTHETICAL INTERNAL DETERMINANTS OF BEHAVIOR

The questions raised concerning the utility and validity of the concept
of "symptom" apply equally to the psychopathology presumed to underlie
the troublesome behavior. From the focusing of attention on inner agents
and forces, many fanciful theories of deviant behavior have emerged.
The developmental history of social behavior is rarely known, and its
reconstruction from interview material elicited by therapists or diagnos-
ticians is of doubtful validity. In fact, the content of reconstruction is

highly influenced by the interviewer's suggestive probing and selective

reinforcement of content that is in accord with his theoretical orienta-
tion. Heine ( 1953 ) , for example, found that clients who were treated by
client-centered, Adlerian, and psychoanalytic therapists tended to account
for changes in their behavior in terms of the explanations favored by
their respective interviewers. Even a casual survey of interview protocols
would reveal that psychotherapists of different theoretical affiliations tend
to find evidence for their own preferred psychodynamic agents rather
than those cited by other schools. Thus, Freudians are likely to unearth
Oedipus complexes and castration anxieties, Adlerians discover inferiority
feelingsand compensatory power strivings, Rogerians find compelling
evidence for inappropriate self-concepts, and existentialists are likely to
diagnose existential crises and anxieties. It is equally true that Skinnerians,
predictably, will discern defective conditions of reinforcement as im-
portant determinants of deviant behavior. In the latter explanatory
scheme, however, the suspected controlling conditions are amenable to
systematic variation; consequently the functional relationships between
reinforcement contingencies and behavior are readily verifiable.
Theoretical models of dubious validity persist largely because they are
not stated in refutable form. The lack of accurate knowledge of the
genesis of behavioral deviations further precludes any serious evaluation
of suggested determinants that are so involved that they could never be
produced under laboratory conditions. When the actual social-learning
10 CAUSAL PROCESSES

history of maladaptive behavior is known, principles of learning appear

to provide a completely adequate interpretation of psychopathological

phenomena, and psychodynamic explanations in terms of symptom-un-
derlying disorder become superfluous. The spuriousness of the supposi-
tion that psychodynamic forces produce symptomatic behavior can be
best illustratedby cases in which the antecedents of aberrant response
patterns are known. Such examples are hard to obtain since they require
the production of deviant behavior under controlled conditions. Ayllon,
Haughton, & Hughes ( 1965 .furnish a graphic illustration of how a
)

—
bizarre pattern of behavior which was developed, maintained, and sub-
sequently eliminated in a schizophrenic woman simply by altering its re-
—
inforcing consequences was interpreted erroneously as a symptomatic
manifestation of complex psychodynamic events by diagnosticians who
were unaware of the specific conditions of reinforcement regulating the
patient's behavior.
Unfortunately, the exact antecedents of deviant behavior are rarely
known, and in the absence of powerful techniques that permit adequate
control over behavioral phenomena, clinical endeavors have until re-
cently lacked the self-corrective features necessary for eliminating weak
or invalid theories of psychopathology. As a consequence, rival inter-
pretations of social behavior have 4
decades retained a secure status
for
with little risk that any one type of theory might prove more cogent
than another.
In recent years there has been a fundamental departure from con-
ventional views regarding the nature, causes, and treatment of behavioral
dysfunctions. According to this orientation, behavior that is harmful to
the individual or departs widely from accepted social and ethical norms
is viewed not as symptomatic of some kind of disease but as a way
that the individual has learned to cope with environmental and self-

imposed demands. Treatment then becomes mainly a problem in social

learning rather than one in the medical domain. In this conceptual
scheme the remaining vestiges of the disease-demonic model have been
discarded. Response patterns are not viewed as symptoms and their oc-
currence is not attributed to internal, pernicious forces.
and psychodynamic theories differ not only in whether
Social learning
they view deviant behavior as a quasi disease or as a by-product of
learning, but also in what they regard to be the significant controlling
factors, and in the status assigned to internal events. As will be shown
approaches treat internal processes as covert events
later, social-learning

that are manipulable and measurable. These mediating processes are

extensively controlled by external stimulus events and in turn regulate
overt responsiveness. By contrast, psychodynamic theories tend to regard
internal events as relatively autonomous. These hypothetical causal agents
Causal Processes 11

generally bear only a tenuous relationship to external stimuli, or even

to the "symptoms" that they supposedly produce. Freud's famous case
of Little Hans, which has been reinterpreted by Wolpe & Rachman
(1960), illustrates some of the major differences in explanatory models.
Little Hans exhibited, among other things, a phobia for horses. Freud
(1955) interpreted the phobic behavior in the following manner:

He was not only afraid of horses biting him . . . but also of carts,

of furniture-vans, and of buses ( their common quality being, as presently

became clear, that they were all heavily loaded), of horses that started
moving, of horses that looked big and heavy, and of horses that drove
quicklv. The meaning of these specifications was explained by Hans
himself: he was afraid of horses falling down, and consequently incor-
porated in his phobia everything that seemed likely to facilitate their

falling down ... [p. 265].

He (father) elicited from Hans the recollection of an event at

Gmunden, the impression of which lay concealed behind that of the

falling bus-horse. While they were playing at horses, Fritzl, the play-
mate of whom he was so fond, but at the same time, perhaps, his rival
with his many girl friends, had and had fallen
hit his foot against a stone

down, and his foot had had reminded him

bled. Seeing the bus-horse fall
of this accident. The first person who had served Hans as a horse
. . .

must have been his father; and it was this that had enabled him to
regard Fritzl as a substitute for his father when the accident happened at
Gmunden. ... In the end his father went into the lumf symbolism,
and recognized was an analogy between a heavily loaded cart
that there
and a body loaded with faeces, between the way in which a cart drives
out through a gateway and the way in which faeces leave the body, and
so on . .\ [p. 126-127].

We can now recognize that all furniture- vans and drays and buses
were only stork-box carts, and were only of interest to Hans as being
symbolic representations of pregnancy; and that when a heavy or heavily
loaded horse fell down he can have seen in it only one thing — a child-
birth, a delivery. Thus the falling horse was not only his dying father
but also his mother in childbirth [p. 128].

Freud's paper reports at least four incidents in which horses, actual

or symbolic, were associated with fear-provoking experiences capable of
producing a conditioned phobic reaction. Hans had been frightened at
seeing horses being beaten at a merry-go-round; he was warned to avoid
horses for they might injure him; he became frightened when a friend
was accidentally hurt while playing horses; and, in the episode that
12 CAUSAL PROCESSES

immediately preceded the onset of the phobic behavior, he was terrified

by a bus accident in which he believed a horse was killed.
In the psychoanalytic schema the internal psychic disturbance is the
basic cause or instigator of the phobic responses, while external stimuli
(horses) supposedly exert little or no controlling influence over the
deviant behavior except as a convenient focal point for Hans's projected
Oedipal and castration feelings.

It (the phobia) extends to horses and on to carts, on to the fact that

horses fall down and that they bite, on to horses of a particular char-
acter, on to carts that are heavily loaded. I will reveal at once that all

these characteristics were derived from the circumstance that the anxiety
originally had no reference at all to horses but was transposed on to them
secondarily [italics added] and had now become fixed upon those ele-
ments of the horse complex which showed themselves well adapted for

certain transferences [p. 51].

This exposition fails to account for the variation in both the pattern
and the intensity of Hans's anxiety reactions under different circum-
stances. In fact, the case data provide considerable evidence that ex-
ternal cues served as the primary eliciting and controlling stimuli for
Hans's phobic responses rather than simply as incidental targets for pro-
jected feelings.
Let us consider the major traumatic episode which was related to the
onset of Hans's phobia. While out walking with his mother Hans saw a
large bus-horse fall and kick with its feet. He was terrified and thought
the horse was killed in the accident. There were three important ele-
ments in this stimulus —
complex large horse, heavily loaded transport
vehicle, and horse and vehicle traveling at high speed. The occurrence
and intensity of Hans's subsequent phobic reactions varied predictably
as a function of the specific patterning of these three critical stimulus
elements. Hans was more frightened of large dray horses than of small
horses, more frightened of a rapidly moving vehicle than of a slowly
moving one, more frightened of heavily loaded vehicles than of empty
ones, and frightened when a horse-drawn cart made a turn:

hans: And I'm most afraid of furniture-vans too.

father: Why?
hans: I think when furniture-horses are dragging a heavy van they'll

fall down.
father: So you're not afraid with a small cart?

hans: No. I'm not afraid with a small cart or with a post-office van. I'm
most afraid too when a bus comes along.
Causal Processes 13

father: Why? Because it's so big?

hans: No. Because once a horse in a bus
fell down.

father: What did you think when the horse fell down?
hans: Now it'll always be like this. All horses in buses'll fall down . . .

[p. 49].
father: When the horse fell down, did you think of your daddy?
hans: Perhaps. Yes. It's possible . . .
[p. 51].

father: What carts are you still afraid of?

hans: All of them.
father: You know that's not true.
hans: I'm not afraid of carriages and pair or cabs with one horse. I'm
afraid of buses and luggage-carts, but only when they're loaded up,
not when they're empty. When there's one horse and the cart's

loaded full up, then I'm afraid; but when there are two horses and
it's loaded full up, then I'm not afraid.
father: Are you afraid of buses because there are so many people
inside?
hans: Because there's so much luggage on the top.
father: When Mummy was having Hanna, was she loaded full up too?

[pp. 90-91].

The Oedipal interpretation fails not only to account for the discrimi-
native pattern of Hans's phobic behavior but also to explain satisfac-
torilywhy he was afraid of railways and locomotives as well, a phobia
which probably generalized from the transport vehicle stimulus complex.
The psychoanalytic interpretation would demand that the locomotive and
the railway tracks were likewise symbolic representations of the castrating
father and the impregnated mother.
The conceptual structure of causal sequences in psychodynamic the-
ories of behavior is beleaguered by serious problems. An amorphous
internal determinant cannot possibly account for the remarkable variety
of heterogeneous behaviors as well as changes both in their incidence
and magnitude under different stimulus conditions, toward different
persons, and at different times. How can a horse phobia be attributed
to an underlying Oedipus complex and projected castration fears if a
person responds phobically to one horse pulling a heavy loaded vehicle,
but is relatively unafraid of two horses drawing a loaded vehicle? When
diverse stimulus inputs produce correspondingly diverse behavioral ex-
pressions then any internal mediators implicated in the causal sequence
must be at least equally specific and their activation must be closely
regulated by discriminative environmental stimuli.
The conceptual difficulties associated with psychodynamic formula-
14 CAUSAL PROCESSES

tions apply equally to trait theories of personality. These approaches

assume that people possess generalized and stable response dispositions
that determine behavior in a variety of situations. Consequently it is
considered sufficient to sample some limited classes of response that
are regarded as dependable indicators of how persons are likely to behave
under particular conditions. The types of behaviors selected for meas-
urement vary. A few of the assessment procedures that have been ad-
vocated at one time or another are brief samplings of overt behavior that
bear some resemblance to the trait description, endorsements of state-
ments that describe affective states, interests, or response patterns, and
farfetched responses elicited by relatively ambiguous stimuli such as
inkblots, ill-defined picture's, doll families, and incomplete sentences.
The basic assumption of trait theories — that persons display gen-
eralized modes of behavior that can be predicted from a restricted
sampling of responses —finds little empirical support. For purposes of
illustration, let us consider the "trait" of aggressiveness. Several investi-
gations (Bandura, 1960; Bandura & Walters, 1959) of social-learning
determinants of aggressive behavior have shown that both adolescent
and preadolcscent boys display highly discriminative patterns of aggres-
sive responses that vary considerably as a function of the persons with
whom they are interacting (for example, parents, teachers, siblings, or
peers). Furthermore 1
, toward the same
the incidence of aggression even
objects differs widely depending upon whether physical, verbal, or
more attenuated forms of responses arc- measured. The boys' discrimina-
tive aggressive responsiveness closely reflected the considerable amount
of discrimination training that they had undergone. The parents con-
sistentlypunished aggression directed toward themselves, but simulta-
neously encouraged and positively reinforced their sons' aggressive be-
havior toward persons outside the home.
It is evident from informal observation of differential contingencies
characteristically applied to social response svstems that, fortunately for
survival purposes, cultural practices are much too variable to produce
generalized traits. The likelihood that a given pattern of behavior will
be rewarded, ignored, or punished is dependent upon, among other fac-
tors, the characteristics of the performer, the specific form and intensity
of the behavior, the objects toward whom the actions are directed, the
social situations in which they occur, and various temporal factors. Thus
a high degree of behavioral flexibility is required if a person is to meet
the complexities of ever changing environmental demands. In the case
of social response systems,most of which are characterized by high be-
measurement is a disappointing pursuit. Indeed,
havioral specificity, trait
a comprehensive review of the relevant empirical literature by Mischel
(1968) reveals low intercorrelations among different measures purport-
Causal Processes 15

ing to assess the same trait, weak relationships between component

parts of gross trait dimensions, and little consistency of behavior patterns
in different stimulus situations. On the other hand, intellectual perform-
ances, which are more or less uniformly rewarded by different agents
at different times and in different settings, show substantial consistency.
In the assessment process, behavioral data, however obtained, are
typically converted into trait or psychodynamic constructs that are far
removed from the actual feelings and actions of the person being eval-
uated. This practice rests on the assumption that the abstractions rep-
resent more generic systems and, therefore, possess greater predictive
power. As Mischel ( 1968 ) has noted in a review of evidence bearing
on this issue, the transformation shifts the focus of attention from what
a person does to speculations about what he has; from concern about
the client's behavior to engrossment in the diagnosticians categories of
behavior. The evidence indicates that these hypothetical constructions
are better predictors of diagnosticians' semantic and conceptual stereo-
types than of clients' actual attributes and psychological reality. It there-

fore comes as no surprise that assessment strategies deriving from the

dynamic trait point of view have generally failed to match the predic-
tive efficacy of actuarial methods (Meehl, 1954).
The tenacious belief in generalized response dispositions is attributed
by Mischel (1968) to the tendency to construe behavioral consistencies
even from variable performances. Hence, generality may emerge in the
inferential construct domain, whereas a high degree of specificity may
obtain at the behavioral level. Among the factors listed as reinforcing
the impression of consistency are included physical constancies in ap-
pearance, linguistic characteristics, and stylistic features; regularities in
the stimulus situations in which a person is repeatedly observed; reliance
upon broad and ambiguous trait categories that encompass hetero-

geneous behaviors; utilization of test items that require a person to rate

his behavior in "typical" social contexts rather than in a variety of specific
situations; and strong psychological pressures to maintain a consistent,
stable view of events. Inconsistencies, therefore, tend to be resolved by
glossing over, ignoring, or reinterpreting discrepant evidence.
The preoccupation with internal psychic agents and energized traits

has been largely responsible for the limited progress in development of

empirically sound principles of human behavior. The gap between stimu-
lus inputs and overt response events tends to be filled readily with diverse
all-powerful, animistic constructs capable of generating and explaining
almost any psychological phenomenon. These constructs, of course, lend
themselves easily to pseudo explanations (Skinner, 1961) in which re-
naming of a behavioral phenomenon is offered as an explanation. For
example, persons who exhibit withdrawal, delusional and hallucinatory
16 CAUSAL PROCESSES

behavior, inappropriate emotional responses, and behavioral deficits, will

be labeled schizophrenic. The presence of these deviant behaviors is

then attributed to an underlying schizophrenia, an explanation that is
completely circular and contains no information whatsoever about causal
determinants. An adequate causal explanation must specif v clearly the
independent variables that produce and maintain the observed schizo-
phrenic behavior. In a similar manner, traits, complexes, and dvnamics,
which represent the descriptive constructs of the assessor, often are
made active entities within .the client that supposedlv cause his be-
havior.
The major deficiencies of theories that explain behavior primarily in
terms of conjectural inner causes would have been readilv demonstrated
had they been judged, not in terms of their facility in interpreting be-
havioral phenomena that have already occurred, but rather on the basis
of their efficacy in predicting or modifying them. Because the internal
determinants propounded by these theories (such as mental structures,
Oedipal complexes, collective unconscious) could not be experimentally
induced, and rarely possessed unequivocal consequences, psvehodynamic
formulations enjoyed an immunity to genuine empirical verification. If

progress in the understanding of human behavior is be accelerated,

to
psychological theories must be judged bv their predictive power, and by
the efficacy of the behavioral modification procedures that they produce.

ADVERSE CONSEQUENCES OF DISEASE INTERPRETATIONS

OF DEVIANT BEHAVIOR

The conceptualization of deviant behavior as manifestations of dis-

ease has, in several ways, impeded development of efficacious methods
of behavioral change. In the first place, it led to heavy reliance upon
physical and chemical interventions, unremitting search for drugs as
quick remedies for interpersonal problems, and long-term neglect of
social variables as influential determinants of deviant response patterns.
Secondly, the mislabeling, partly bv historical accident, of social devia-
tions as symptoms of mental illness estabished medical training as the
optimal preparation for psychotherapeutic work. In fact, such training,

because of primary concern with somatic processes and pathologies,

its

leaves one ill-prepared for devising and implementing methods that are
successful in promoting favorable social change. Had educational proc-
esses, which also depend upon neurophysiological functioning, been his-
torically misconstrued as principally medical phenomena, our society-
would undoubtedly be faced with the same critical shortage of educa-
tional facilities and well-trained instructional personnel that characterizes
our current "mental health" enterprises.
Although the designation of behavioral eccentricities as manifesta-
Causal Processes 17

tions of disease initially resulted in more humane treatment, as Szasz

( 1961 ) cogently points out, continued adherence to this analogy has be-
come a serious hindrance. Many people who would benefit greatly from
psychological treatment avoid seeking help because they fear being stig-
matized as mentally deranged, which often carries deleterious social con-
sequences. Those who are compelled by chronic distress to seek a solu-
tion to their interpersonal problems are typically ascribed a sick role
and are regarded as relatively helpless, dependent, and incompetent in
managing their daily lives. By having their behavioral deviations treated
as expressions of internal psychic pathologies they are thereby relieved
of the natural consequences of their actions. In this connection, it is

important to distinguish judicious management of reinforcement con-

tingencies aimed at altering the course of future behavior from moral
judgments of personal responsibility for past actions. There is little to be
gained from condemning delinquents for their history of antisocial be-
havior, but there is much to be gained from having them experience new
response consequences that will help them develop a more effective way
of life. When individuals are labeled mentally ill, this often results not
only in suspension of customary response consequences essential for
change, but in substitution of contingencies that foster maladaptive
tendencies (Ayllon & Michael, 1959). Moreover, as will be shown later,

for people who undergo long-term institutionalization, the attendant

stigmatization, the patient-role requirements of the mental hospital cul-
ture, the limited opportunities to perform behaviors that are necessary in
community and the development of institutional dependency produce
life,

further impediments to successful readjustment to typical environmental

demands.
The medical orientation toward deviant behavior has resulted also in
a disinterest in, and lack of facilities for, the modification of lesser, but
nevertheless troublesome, forms of psychological problems. People with
circumscribed behavioral difficulties are justifiably unwilling to label
themselves mentally deranged and to enter into a protracted expensive
treatment that offers no guarantee of success. Thus, for example, people
who suffer from snake phobias may be unable perform their work un-
to
der certain conditions, to participate in camping and other outdoor ac-
tivities, or to reside in locales inhabited by harmless snakes. Treatments

derived from social-learning principles are now available that can effec-
tively eliminate such phobias in any person in a few sessions (Bandura,
Blanchard, & 1968). Psychological centers that offer brief and
Ritter,
highly efficacious treatments for specific behavioral dysfunctions would
provide valuable therapeutic services to many persons who would other-
wise endure unnecessary restrictions in certain areas of their psychologi-
cal functioning.
18 CAUSAL PROCESSES

The designation of divergent beliefs and actions as "sick" may also

have an important impact on the more general process of social change.
Improvements in the conditions of life within a society require the con-
tinuous modification of its institutionalized patterns of behavior and the
replacement of old standards of conduct with new ones that are more
fitting to the altered circumstances. Proposed social reforms, however,
typically meet with strong resistance, particularly if they represent
marked departure from established traditions and threaten vested in-
terests. Consequently persons often find it necessary to violate institu-
tionalized codes of behavior in order to force a change in the social
system. In such instances, deviance serves a positive function in promot-
ing constructive modifications. The conforming populace, despite its pro-
testations, eventually profitsfrom the nonconformists' deviance.
Resistance to advocated social changes sometimes takes the form of
publicly labeling those who advocate divergent practices as emotionally
disturbed. This diagnostic devaluation is most easily applied when social
deviants attempt, as they usually do, to differentiate themselves from the
general populace by adopting unconventional attire and hair styles or
peculiar symbols and rituals. In some totalitarian societies it is not
uncommon to silence authors who propose certain social and political
reforms by diagnosing them as mentally deranged and committing them
to psychiatric hospitals (Crankshaw, 1963). Although our own society
rarely imposes such legal sanctions, active nonconformists are often dis-
credited by characterizing them as "perverts" and members of the "luna-
tic fringe." A society would better preserve its potential for change by

defining social deviance as innovative rather than "sick" behavior. Such

a practice would favor evaluation of proposed changes on the basis of
their merits and probable long-term consequences, as should be the case.
Since social control through stigmatizing deviance as psychic malfunc-
tion has gained currency in our society, it would be surprising if such
mislabeling were confined to matters of cultural norms and objects. Even
the diagnosticians themselves may yield to the temptation to brand any
dissidence as psychopathological. In one such illustration (Gitelson,
1962), departure from orthodoxy in psychoanalytic theory is explained
not by factual and theoretical disagreements, but in terms of "patho-
logical narcissism," "transference neuroses," and other psychodynamic
malfunctions in dissenting members.
Szasz ( 1965 ) , who has been especially concerned about the promotion
of moral prescriptions in the guise of psychiatric diagnoses, has written
widely on the contemporary misuse of the notion of mental illness. He
argues that, in an effort to ensure more benevolent treatment of persons
in difficulty, they are certified as afflicted with a mental disease. This
advantage, however, is gained at the expense of stigmatization, degrada-
Interpretation of Causal Processes 19

tion, and restriction of personal freedom. Rather than the "bootlegging

of humanism" on psychiatric grounds he advocates frank confrontation
of the socio-ethical issues involved in societal practices and active efforts
to bring about needed reforms. To take legalized abortion as an example,
Szasz 1962 ) contends that it would be more honest to grant people the
(

right to determine for themselves whether they wish to bring a child

into the world than to invoke psychiatric illness as a subterfuge for per-
forming abortions. As an analogy, if divorces were granted only on the
basis of psychiatric certification of mental illness, the incidence of mental
derangement would suddenly rise astronomically.

Interpretation of Causal Processes

Preoccupation with internal response-producing agents has resulted

in a disregard of external variables that have nevertheless been shown to
exercise control over behavior. An organism
that is impelled from within
but is relatively insensitive to environmental stimuli or to the immediate
consequences of its actions would not survive for long. Human function-
ing, in fact, involves interrelated control systems in which behavior is

determined by external stimulus events, by internal information-process-

ing systems and regulatory codes, and by reinforcing response-feedback
processes.

Stimulus Control of Behavior

During initial phases of human development, stimuli, except those

which are inherently aversive, exert little or no influence upon individuals.
Eventually, however, as a result of undergoing either direct or vicarious
experiences, individuals' behavior comes to be regulated by antecedent
stimulus events that convey information about probable consequences of
certain actions in given situations. The development of appropriate antic-
ipatory reactions to recurrent environmental cues has considerable func-
tional and survival value. Indeed, an individual who did not learn to
avoid physical hazards, who did not respond appropriately to traffic

signals and other guiding cues, for example, and who remained indif-
ferent to important social and symbolic stimuli, would suffer a painfully
rapid extinction.

STIMULUS CONTROL OF AUTONOMIC RESPONSIVENESS

Many problems for which people seek relief involve distressing au-
tonomic overactivity reflected in a variety of somatic complaints of a
functional nature, including chronic "tension" and anxiety reactions,
gastrointestinal disorders, and respiratory and cardiovascular disturb-
20 CAUSAL PROCESSES

ances. Conditioned emotionality is also generally implicated, particularly

during the acquisition phase, in obsessiye-compulsiye reactions, be-
havioral inhibitions, and phobic and other a\oidance beha\iors. Depres-
sant drugs may pro\ide temporary relief from intense autonomic re-

sponses, but in cases where they are under stimulus control, social-learn-
ing procedures that are capable of neutralizing the emotion-arousing
properties of stimulus events offer the most direct and effectiye treatment.
Autonomic responses can be most readily brought under the control of
environmental stimuli through classical conditioning operations. If a
formerly ineffective or conditioned stimulus is closely associated with an
unconditioned stimulus capable of eliciting a given physiological re-
sponse, the former stimulus alone gradually acquires the power to evoke
the physiological response or Although some types of
its equivalent.
autonomic responses are more difficult to condition than others, almost
every form of somatic reaction that an organism is capable of making.
including respiratory and heart-rate changes, increases in muscular ten-
sion, gastrointestinal secretions, vasomotor reactions, and other indices
of emotional responsiveness (Bykov, 1957; Kimble. 1961), has been classi-
cally conditioned to innocuous stimuli. Environmental eyents can like-

wise acquire the capacity to control electroencephalographic arousal

through association with either external evocative stimuli or direct cen-
tral stimulation John. 1967 .

Laboratory studies concerned with the production of asthmatic at-

tacks illustrate how psychosomatic reactions can be brought under stimu-
lus control.Noelpp & Noelpp-Eschenhagen 1951. 1952). for example,
demonstrated that following repeated pairing of induced asthmatic at-
tacks with an auditory stimulus, many of the guinea pigs in the study
exhibited respiratory dysfunctions characteristic of bronchial asthma in
response to the conditioned auditory stimulus alone. Stimulus control of
human asthmatic attacks is similarly demonstrated in an experiment by
Dekker. Pelser. & Groen 1957 . Two patients suffering from seyere
bronchial asthma inhaled nebulized allergens to which they were hyper-
sensitive. After repeated inhalations of the allergen extract that seryed
as the unconditioned stimulus for asthmatic attacks, inhalation of a neu-
tral solvent of the allergen alone, which initially produced no respira-
tory changes, elicited attacks of asthma as demonstrated by clinical signs
and vital capacity measures. In later phases of the experiment inhalations
of pure oxygen and even the presentation of the mouthpiece, both for-
merly neutral stimuli, had acquired the power to proyoke asthmatic
attacks which were indistinguishable from those induced by the allergen
itself.

In the experiment described, asthmatic responses were conditioned to

elements of the inhalation situation and apparatus through contiguous
Interpretation of Causal Processes 21

association. It is not surprising, therefore, that analyses of asthmatic

behavior by Dekker & Groen ( 1956 ) produced an extremely varied array
of highly specific eliciting stimuli in the group of patients studied; these
included the sight of dust, radio speeches by influential politicians, chil-
dren's choirs, the national anthem, elevators, goldfish, caged birds, the
smell of perfume, waterfalls, bicycle races, police vans, and horses. Once
the critical eliciting stimuli had been identified in a particular case,
Dekker and Groen were able to induce attacks of asthma by presenting
the conditioned stimuli in actual or in pictorial form. In some cases, of
course, more complex interpersonal events may serve as major evocative
stimuli.
Of particular interest is the investigators' observation that intense
emotional arousal itself failed to produce asthmatic reactions, whereas
exposure to specific asthmatic conditioned stimuli typically provoked
marked respiratory dysfunction. The latter observation is corroborated
by Ottenberg, Stein, Lewis, & Hamilton (1958) in a study of the classical
conditioning and extinction of asthmatic responses in guinea pigs.
Asthma-like attacks, which readily occurred in the presence of condi-
tioned stimuli, could not be induced by means of emotion-provoking
procedures involving loud noises, painful stimulation, and electric shock.
In view of these findings, one would expect that direct neutralization of
specific eliciting stimuli (Moore, 1965; Walton, 1960) would be effective
in modifying asthmatic responses under the control of environmental
stimuli, but that reduction of general emotional disturbances may have
little impact on the respiratory disorder.

Both the processes and outcomes accompanying classical conditioning

operations are considerably more complex than the general principle
might imply. Persons often display differential susceptibility to autonomic
conditioning, which suggests that other variables possibly genetic, —
physiological, or psychological —
are contributory factors. It will also be
shown later that cognitive representation of the contingent relationship
between conditioned and unconditioned stimuli markedly facilitates clas-
sical conditioning. These findings call into question peripheral theories of
conditioning.

Higher-Order Conditioning. Many of the emotional responses that

persons exhibit toward specific objects are not products of direct associa-
tions of affective experiences with the objects themselves. Some people,
for example, may respond anxiously toward snakes without having had
any direct aversive encounters with them. Similarly, persons often display
strong emotional arousal at the sight or mention of unpopular minority
groups or nationalities on the basis of little or no personal contact. These
types of reactions are frequently established on the basis of higher-order
22 CAUSAL PROCESSES

conditioning in which a stimulus that has acquired eliciting power

through its direct association with primary experiences serves as the basis
for further conditioning (Davenport, 1966).

Interoceptive Conditioning. External stimuli have been most fre-

quently employed in classical conditioning experiments, but in recent
years researchers (Bykov, 1957; Razran, 1961; Slucki, Adam, & Porter,
1965) have provided numerous demonstrations of interoceptive condi-
tioning in which both autonomic and instrumental responses become
conditioned to differential visceral stimulation. Laboratory investigations
of these internal conditioning processes are made possible by the forma-
tion of fistulas in the viscus or by surgical exteriorization of internal
organs. A variety of stimulative procedures has been employed including
pressure stimuli administered through distensions of visceral cavities by
means of rubber balloons inflated with air or water, thermal stimuli,
tactual stimulation ofmucous membranes by scratching and air jets, and
irritant chemical stimuli usuallv presented by means of irrigation pro-

cedures. Different forms and combinations of visceral, skeletal, and

sensory reactions are then conditioned to the internal stimulus events.
In some paradigms sensations from internal or-
of the experimental
gans are paired with electric shock which elicits withdrawal responses.

After several conjoint presentations withdrawal responses are consistently

elicited by the internal stimuli alone. In other cases both the CS and the
UCS are presented internally, as when respiratory changes are specifically
conditioned to rapid intestinal distensions. Higher-oider conditioning
phenomena obtained with external signal systems and peripheral re-

sponses can likewise occur on an interoceptive basis. Repeated duodenal

inflation, serving as the first-order conditioned stimulus, was paired with
electric shock administered to a dog's paw. Duodenal inflation was later
associated with a buzzer, the second-order conditioned stimulus. Subse-
quent tests revealed that the auditory stimulus alone acquired the ca-
pacity to elicit withdrawal responses even though it had never been
directly associated with aversive stimulation. The aversive properties of
interoceptive stimuli were thus transferred to a formerly innocuous ex-
ternal stimulus through their contiguous occurrence.
Other complex conditioning processes, including sensory precondition-
ing in which two neutral stimuli are associated before one of the pair is

endowed with have also been showm with interoceptive

eliciting potency,
stimuli. Moreover, many of the above findings have been replicated in
experiments involving both human subjects with pre-existing fistulas
and nonclinical groups, by manipulating internal pressure changes by
the balloon-manometer technique. These demonstrations of the condi-
tionability of visceral stimulation provide some much needed knowledge
Interpretation of Causal Processes 23

about the important, but poorly understood, process of internal stimulus

control of behavior.The fact that conditioned interoceptive stimuli may
enter into higher-order conditioning processes, thereby endowing other
temporally contiguous internal and external stimuli with controlling
power, greatly obscures the genesis of a given pattern of responsiveness.

Vicarious Classical Conditioning. While undoubtedly many emo-

tional responses are acquired on the basis of direct experience, much
human learning results from a process of vicarious conditioning (Ban-
dura, 1965; Bandura & Rosenthal, 1966; Berger, 1962). Under certain
conditions,which will be elaborated in a later chapter, the emotional
responses of another person, as conveyed through vocal, facial, and
postural manifestations, arouse emotional reactions in observers. Any
stimuli regularly associated with emotional responses elicited in observers
by effective social cues may eventually acquire emotion-provoking prop-
erties. In laboratory investigations of vicarious classical conditioning, one
person, the performer or model, typically undergoes an aversive condi-
tioning procedure in which a formerly neutral stimulus (a tone) is pre-
sented, and shortly thereafter the model displays pain and other emo-
tional reactions supposedly in response to shock stimulation. Observers
who witness the model undergoing this conditioning experience display
emotional responses to the tone alone even though they have not them-
selves directly experienced the aversive stimulation. Such vicarious proc-
esses are importantly involved not only in the development of condi-
tioned emotionality but also in its modification.
It is apparent from the foregoing discussion that autonomic respon-
siveness can be brought under the control of relatively complex com-
binations of internal and external stimuli that may be either contiguous
with, or temporally remote from, the physiologically effective uncondi-
tioned stimuli. The fact that new stimulus events can become linked to
emotional behavior on a vicarious basis, as well as through direct experi-
ence, further adds to the complexity of conditioning processes. More-
over, once conditioned stimuli have acquired eliciting power, this ca-
pacity transfers or generalizes to other sets of stimuli that possess similar
physical properties, to semantically related cues, and even to highly dis-
similar stimuli involved in people's cognitive associative networks, which
may be unique.

STIMULUS CONTROL OF INSTRUMENTAL BEHAVIOR

The preceding discussion has been entirely concerned with the ac-
quisition of stimulus control over autonomic and electroencephalographic
responses. Instrumental behaviors are brought under discriminative
stimulus control if their occurrence is associated with differential con-
24 CAUSAL PROCESSES

sequences depending on the presence or absence of particular stimuli.

This process is most clearly illustrated in simple laboratory studies in
which certain responses are reinforced only in the presence of one stimu-
lus (e.g.,green light), but never in a different stimulus context (e.g., red
light). After the discrimination has been formed, a person responds only
in the presence of the green light. Thus by introducing into the environ-
ment a discriminative stimulus that signifies whether a particular per-
formance is likely to be reinforced, a considerable degree of control over
behavior can be achieved.
The following quotation presents a more telling example of stimulus
control of behavior occurring under naturalistic conditions. In this illus-
tration an elaborate pattern of aggressive behavior by an autistic boy was
rarely exhibited in the father's presence but freely expressed in his
absence.

Whenever her husband was home, Billv was a model youngster. He

knew that his father would punish him quickly and dispassionately for
misbehaving. But when his father left the house, Billy would go to the
window and watch until the car pulled out. As soon as it did, he was
suddenly transformed. . . . 'He'd go into my closet and tear up my
evening dresses and urinate on my clothes. He'd smash furniture and run
around biting the walls until the house was destruction from one end to
the other. He knew that I liked to dress him in nice clothes, so he used
to rip the buttons off his shirts, and used to go in his pants' [Moser,
1965, p. 961.

Laboratory investigations of stimulus control processes often involve

simple situations in which stimuli differ either on a single attribute or on
a few easily identifiable dimensions. In most real life circumstances the
cues which designate probable consequences usually appear as part of a
bewildering variety of irrelevant events. One must, therefore, abstract
the critical feature common be
to a variety of situations. Behavior can
brought under the control of abstract stimulus properties if responses to
situations containing the critical element are reinforced, whereas re-
sponses to all other stimulus patterns lacking the essential element go
unreinforced. It should be noted here that the controlling function of
various social and environmental stimuli is usually established simply by
informing people about the conditions of reinforcement that are opera-
tive in different situations, rather than by leaving them to discover it for
themselves through a tedious process of selective reinforcement. How-
ever, the existence of differential consequences is essential to maintain
stimulus control produced through instructional means.
Interpretation of Causal Processes 25

In discussions of stimulus control processes

it has been customary to

distinguish between the and the discriminative or response-

eliciting
directing functions of stimulus events (Skinner, 1961). As noted earlier,
autonomic responses are elicited by their controlling stimuli, inde-
pendently of their subsequent consequences. An asthmatic conditioned
stimulus, for example, will induce respiratory changes apart from the
social effects resulting from somatic reactions. On the other hand, in the
case of instrumental responses, the discriminative stimuli simply modify
the probability that a given response will occur, but they do not elicit it.

Moreover, the stimulus control of operant or instrumental behaviors is es-

tablished and maintained by differential response consequences rather
than through temporal association of sets of stimulus events.
Under naturalistic conditions behavior is generally regulated by the
characteristics of persons toward whom responses are directed, the social
setting, temporal factors, and a host of verbal and symbolic cues that
signify predictable response consequences. Social situations, particularly
those involving a large number of multidimensional cues, seldom recur
with exactly the same constituent elements. Because of the constant vari-
ation in the nature and patterning of stimuli, social learning would be
an interminable and exceedingly laborious process if responses were en-
tirely specific to the situation inwhich they had been originally rein-
forced. However, performances that have been reinforced in the presence
of certain cues are also controlled by other stimuli which are related to
them either physically or semantically. After generalized stimulus control
has been established it can be narrowed, if necessary, by differential re-
inforcement of responses to stimuli whose differences are progressively
reduced (Terrace, 1966).

Outcome Control of Behavior

An organism that responded anticipatorily to informative environ-

mental cues but remained unresponsive to the outcomes produced by its
behavior would enjoy a tragically brief life-span. Fortunately, instru 1
mental responses are extensively controlled by their immediate conse-
quences. Responses that result in nonreward or punishing effects are
generally eliminated, whereas those that are successful in securing posi-
tively reinforcing outcomes are retained and strengthened. There is some
evidence (Kimmel, 1967; Miller, 1969) that autonomic responses, which
formerly were believed to be subject only to classical conditioning, can
alsobe modified instrumentally to some degree by differential conse-
quences. Indeed, DiCara & Miller (1968) were able to establish re-
markably precise control over vasomotor activities through differential
reinforcement.
26 CAUSAL PROCESSES

Research conducted by Harris, Wolf &

External Reinforcement.
Baer (1964), designed to modify gross behavior disorders in nursery
school children by altering their teachers' attentional responses, provides
impressive demonstrations of how deviant behavior can be controlled by
its social consequences. Each case involved an intrasubject replication
design in which behavior was successively eliminated and reinstated by
systematic variation of reinforcement contingencies. This is a most power-
fulmethod for isolating the controlling conditions of behavioral phe-
nomena. The procedure in any -given case contains four steps.
First, the child is observed for a period of time to measure the inci-
dence of the deviant behavior, the contexts in which it typically occurs,
and the reactions it elicits from teachers. In one case an extremely with-
drawn boy spent approximately 80 percent of his time in solitary activities
in isolated areas of the nursery school. Observation revealed that the
teachers unwittingly reinforced his solitariness by paying a great deal
of attention to him, reflecting his feelings of loneliness, consoling him
and encouraging him to play with other children. When he did happen
to join other children, the teachers took no particular notice.
In the second phase of the program a new set of reinforcement prac-
ticesis substituted. Continuing with the above example, the teachers

stopped rewarding solitary play with attention and support. Instead,

whenever the boy sought out other children, the teacher immediately
joined the group and gave it her full attention. In a short time, the boy's
isolation declined markedly and he was spending about 60 percent of his
time playing with other children (Figure 1-1).
After the desired changes in behavior have been produced, the orig-
1

inal reinforcement practices are reinstated to determine if the initial be-

havior was in fact maintained by its social consequences. In this third
stage, for example, the teachers again paid no attention to the child's
responded with comforting ministrations when-
sociability but instead
ever he was alone. The effect of this traditional "mental hygiene" treat-
ment was to increase the child's withdrawal to the original high level
(Figure 1-1).
In the final phase of the program the therapeutic contingencies are
reintroduced, the deviant behavior is eliminated and the desired behavior
patterns are generously reinforced. In the above case, after social re-
sponse was well established the frequency of positive attention from
itv

adults was gradually diminished as the boy derived increasing enjoyment

from play activities with his peers. Follow-up observations disclosed that
the boy maintained his sociable pattern of behavior, which contrasted
markedlv with his previous isolation.
Children with a wide variety of behavior disorders have participated
in such programs, and in each case their maladaptive behavior was
Interpretation of Causal Processes 27

100 r

90

80

?0
Io
60
I
_c

"5 50
o
u>
(0
£ 40
o
I 30

20

10
r
J I I L
1 2 3 4 5 6 7 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24
Baseline Interaction Solitary I Interaction reinforced
reinforced play
reinforced I

Days

Figure 1-1. Percentage of time a withdrawn bov spent in social interaction

before treatment began, during periods when social behavior toward peers
was positively reinforced, and during periods when teachers gave attention for
solitary play. Harris, Wolf, & Baer, 1964.

eliminated, reinstated, and removed a second time simply by altering

teachers' social responsiveness (Harris, Wolf. & Baer, 1964). Additional
demonstrations of reinforcement control of grossly deviant behavior in
both children and adults are provided by Avllon and his associates
(Avllon & Azrin, 1965; Avllon & Michael 1959) and by Wolf, Risley, &
Mees (1964).
Reinforcement control of behavior is further demonstrated by evi-
dence that different frequencv and patterning of outcomes produce
different types of performance ( Ferster & Skinner, 1957 ) When subjects .

are rewarded each time they exhibit the desired behavior (continuous
schedule), and later the reinforcement is completely withdrawn, they
are likely to increase responsiveness for a brief period of time and then
to display a rapid decrease in performance, often accompanied by emo-
tional reactions.
Sometimes behavior is reinforced only after a specified period of time
has elapsed schedule). Pay periods, eating schedules,
(fixed-interval
recreational times, and other regularly scheduled rewarding activities
illustrate the temporal cycles of reinforcement regulating some aspects
of human behavior. When rewards are dispensed on a fixed temporal
basis the payoff is the same regardless of the amount of behavior pro-
28 CAUSAL PROCESSES

duced during the intervening period. Under these conditions, once a

person develops a temporal discrimination, the response output follow-
ing reinforcement is very low but accelerates rapidly as the time for the
next reinforcement approaches. In naturalistic situations where temporal
reinforcement cycles may range over several hours, days, weeks, or even
months, social approval or coercive forms of pressure are usually brought
to bear in order to maintain a steady rate of performance. Nevertheless,
even with these added inducements, the fixed-interval schedule is

likely to generate only the minimum output expected in a given situa-

tion, particularly if the activity itself is somewhat unpleasant. On the
other hand, where given performances have become intrinsically re-
warding, satisfactions derived from the activity itself may greatly out-
weigh the influence of temporally occurring rewards.
Much human behavior is sustained by ratio schedules in which rein-
forcement is made contingent upon the amount of behavior rather than
on the passage of time. In a fixed-ratio schedule a person must complete
a specified amount of work for each reinforcement. Since under these
circumstances reinforcement depends upon the person's own behavior,
these schedules usually generate high and stable responsiveness. By
starting with a low ratio and gradually raising the number of per-
formance's required per reinforcement, very high performance rates can
be developed and maintained for a long period with minimum reinforce-
ment. Although ratio schedules are exceedingly effective in generating a
high behavioral output, persons in extra-laboratory situations, where they
have considerably more freedom of action, are likely to withdraw from
situations with schedules requiring substantial performances for minimal
returns, and to select more beneficent reinforcing agents.
In everyday life most reinforcements are available not only on an
intermittent basis, but also on variable schedules. The effects of variable-
interval and variable -ratio schedules on performance have been exten-
sively studied under controlled laboratory conditions. In the former case,
the length of time between successive reinforcements is varied randomly
around some mean temporal value; in the variable-ratio schedules, the
number of responses per reinforcement is varied around a selected aver-
age ratio. Since the reinforcers are dispensed unpredictably, the usual
temporal or rate discriminations that result in cyclic responsivity cannot
develop; consequently, variable schedules generate higher rates of re-
sponse and more stable and consistent performances than those in which
outcomes occur on a regular or fixed basis. However, even under irregu-
lar reinforcement, ratio schedules are more effective than interval sched-
ules.Research evidence in fact reveals that, of all the variations in sched-
uling procedures available, the variable-ratio schedule is most powerful in
sustaining behavior. A casual observation of the patrons of the gambling
Interpretation of Causal Processes 29

devices at Las Vegas attests to the generality and validity of laboratory

findings.
Evidence of schedule control of behavior has important implications
for the understanding of behavior and for its modification. Those who
have been reared under more or less continuous reinforcement condi-
tions are likely to become easily discouraged and to cease responding
when faced with frustrating nonreward or failure. By contrast, persons
whose response patterns have been reinforced only intermittently will
persist in their behavior for a considerable time despite setbacks and
infrequent reinforcement. This, of course, is the reinforcement history
that is most characteristic of all stable response patterns including deviant
ones. Moreover, when efforts are made to extinguish such behavior, it is

not unusual for a parent or other persons to give in temporarily by re-

warding the behavior, particularly if it goes on unabated or increases in
rate or intensity. Any reinforcements occurring during the extinction
process, however, will reinstate the behavior, often at a higher level than
if extinctionhad not been attempted.
There are other subtle variations in the patterning of reinforcement
that significantly influence the characteristics of behavior. As will be
shown later, differential reinforcement of behavior that is persistent, or of
high magnitude, is another form of intermittence that establishes deviant
and obstreperous behavior of unusual resiliency. Reinforcements can also
be applied in such a way as to produce delayed behavior. This outcome is
achieved in laboratory studies by making rewards available after a given
period of time has elapsed, but only if the subject has refrained from
responding during the interval. Each time the subject responds pre-
maturely the enforced waiting period is begun all over again. By grad-
ually lengthening the time interval, self-control in the subject can be
increased.
In everyday life different classes of social behavior are controlled by
multiple schedules of reinforcement operating either concurrently or al-

ternately. This process is most dramatically illustrated in an experiment

conducted by Ferster ( Ferster & Skinner, 1957 ) , in which the right-hand
responses of a subject were reinforced on a fixed-ratio schedule, whereas
responses with the left hand were reinforced simultaneously on a vari-
able-ratio schedule. The subject produced two remarkably different sets
of performances, each corresponding to the typical response-rate curves
of these types of schedules. Finally, it should be noted that different
types of positive and negative consequential events possess differential
controlling power. The theoretical issues and empirical findings relevant
to this reinforcement variable will be considered in subsequent chapters
of this book.
30 CAUSAL PROCESSES

Vicarious Reinforcement. The discussion thus far has been con-

cerned with the extent to which responsiveness is regulated by external
outcomes impinging directly upon a performer. There is considerable
evidence (Bandura, 1965) that the behavior of observers can be substan-
tiallymodified as a function of witnessing other people's behavior and
its consequences for them. Observation of rewarding consequences gen-
erally enhances similar performances, whereas witnessing punishing out-
comes has an inhibiting effect on behavior. Systematic investigations of
the relative efficacy of vicarious and direct reinforcement reveal that the
changes exhibited by observers are of the same magnitude (Kanfer,
1965) or, under certain conditions, may even exceed those achieved by
reinforced performers (Berger, 1961; Marlatt, 1968). Moreover, vicarious
reinforcement processes are governed by variables such as the percentage
(Bisese, 1966; Kanfer, 1965), intermittence (Rosenbaum & Bruning,
1966), and magnitude (Bruning, 1965) of reinforcement in essentially
the same manner as when they are applied directly to a performing sub-
ject. Although the efficacy of vicarious reinforcement practices is well
established, the behavioral changes displayed by observers may be in-
terpreted in several ways.
One possible explanation is in terms of the discriminative or informa-
tive function of reinforcing stimuli presented to the model. Response
consequence's experienced by another person undoubtedly convey in-
formation to the observer about the probable reinforcement contingen-
cies associated with analogous performances in similar situations. Knowl-
edge concerning the types of responses that are likely to meet with
approval or disapproval can later serve a self-instructional function in
facilitating or inhibiting emulative behavior. The information gained
from witnessing outcomes experienced by others would be particularly
influential in regulating behavior under conditions where considerable
ambiguity exists as to what actions are permissible or punishable, and
where the observer believes that the models' contingencies apply to
himself as well. It is highly unlikely, for example, that witnessing social
approval for physical aggression exhibited by a person occupying a
unique role, such as a policeman, would enhance imitative aggressiveness
in observant citizens to any great extent. Experiments are therefore
needed that test the magnitude of vicarious reinforcement effects as a
function of comparability of social sanctions customarily applied to
models and to observers.
Typically, models' responses are differentially reinforced depending
upon the persons toward whom the behavior is directed and the social
settings in which it is expressed. When differential consequences are
correlated with different stimulus conditions, observation of the rein-
forcement pattern associated with the models' responses helps the ob-
Interpretation of Causal Processes 31

server to identify social or environmental stimuli to which the

the
modeled behavior most appropriate. These relevant cues may be diffi-
is

cult to distinguish without the observed informative feedback. Hence,

through repeated exposure to the outcomes of others, an observer not
only acquires knowledge of predictable reinforcement contingencies,
but he may also discern the situations in which it is most appropriate
to exhibit a given pattern of behavior. The resultant discrimination
learning can later facilitate the performance of matching responses in
the presence of the cues to which the model previously had been re-
sponding with favorable consequences (Church, 1957; McDavid, 1962;
Paschke, Simon, & Bell, 1967).
Observation of reinforcing outcomes and the models' concomitant
reactions may also have important activating or motivational effects on
an observer. The mere sight of highly valenced reinforcers can produce
anticipatory arousal which, in turn, will affect the level of imitative per-
formance. Thus, for example, witnessing a performer rewarded with a
culinary treat for executing a given sequence of responses will convey the
same amount of information about the probable reinforcement contin-
gencies to a famished and to a satiated observer, but their subsequent
imitative performances will, in all likelihood, differ radically because of
the differential effects of deprivation state on the activating power of the
anticipated incentive. Similarly, variations in the magnitude of observed
reinforcers, while providing equivalent information about the permissi-
bility of matching responses, have different motivational effects on ob-
servers (Bruning, 1965). As in the case of direct reinforcement, incentive-
produced motivation in observers is most likely to affect the speed, inten-
sity, and persistence with which matching responses are executed.

A vicarious reinforcement event not only provides information con-

cerning probable reinforcement contingencies, knowledge about the types
of situations in which the behavior is appropriate, and displays of incen-
tives possessing activating properties, but it also includes affective ex-
pressions of models undergoing rewarding and punishing experiences. As
was mentioned earlier, the pleasure and pain cues emitted by a model
generally elicit corresponding affective responses in the viewer. These
vicariously aroused emotional responses can readily become conditioned
either to the modeled responses themselves, or to environmental stimuli
that are regularly correlated with the performer's affective reactions. As
a consequence the subsequent initiation of matching responses by the ob-
server or the presence of the correlated environmental stimuli is likely to
generate some degree of emotional arousal. In a similar manner, witness-
ing the nonoccurrence of anticipated aversive consequences to a model
can extinguish in observers previously established emotional responses
that are vicariously aroused by modeled displays. It is therefore possible
32 CAUSAL PROCESSES

that the facilitative or suppressive effects of observing the affective conse-

quences for the model may be partly mediated by the vicarious condition-
ing or extinction of emotional responses.
Finally, reinforcements administered to another person may have im-
portant consequences in social evaluation. Punishment is apt to devalue
the model and his behavior, whereas models who receive praise and
admiration tend to be attributed prestige and competence (Bandura,
Ross, & Ross, 1963; Hastorf, 1965). Changes in model status, in turn, can
significantly affect observers', subsequent performance of matching re-
sponses. A particular vicarious reinforcement event, depending upon its
nature and context, may thus produce behavioral changes in observers
through any one or more of the five processes outlined.
The effects of observed consequences upon performance are also likely
to be influenced by the social conditions under which the vicarious events
occur. Almost without exception, the studies discussed above employ a
paradigm in which observers' behavior is measured after they have wit-
nessed another person either rewarded or punished by an agent with
whom the observers never have any contact and in social settings that
differ from their own. Observed consequences may have different be-
havioral effects under conditions where the reinforced performers and the
observers are members of the same group who are present in the same
setting and interacting with the same social agents. Observers who wit-
ness other members rewarded for a certain pattern of behavior may tem-
porarily increase similar responding, but if their behavior is consistently
ignored they are apt to discontinue the modeled behavior or even re-
spond negatively to the agent's preferential treatment.

Self -Reinforcement. Although the controlling power of externally

occurring consequences cannot be minimized, self- reinforcement may fre-

quently outweigh the influence of external outcomes in governing social

behavior, particularly in the case of older children and adults. Until re-
cently, self-reinforcement phenomena have been virtually ignored in psy-
chological theorizing and experimentation, perhaps as a result of pre-
occupation with infrahuman learning. Unlike humans, who continually
engage in self-evaluative and self-reinforcing behavior, rats or chimpan-
zees are disinclined to pat themselves on the back for commendable per-
formances, or to berate themselves for getting lost in culs-de-sac. By con-
trast, people typically set themselves certain standards of behavior and
self-administer rewarding or punishing consequences depending on
whether their performances fall short of, match, or exceed their self-pre-
scribed demands.
Self-reinforcing responses are to some extent directly established
through selective reinforcements administered initially by socialization
Interpretation of Causal Processes 33

agents. In this learning process an agent adopts a criterion of what con-

stitutes aworthy performance and consistently rewards persons for match-
ing or exceeding the adopted standard, while nonrewarding or punishing
performances that fall short of it. When subsequently persons are given
control over the administration of reinforcers they are likely to rein-
force themselves in a similarly selective manner. In a study investigating
the effects of miserly and indulgent training on rate of self-reinforcement,
Kanfer & Marston (1963) rewarded the performances of some adults gen-
erously with token reinforcers accompanied by an approving attitude
toward self-reward, whereas with others the experimenter parted grudg-
ingly with a few tokens and cautioned subjects against requesting re-
wards for undeserving performances. Those who received lenient training
subsequently rewarded themselves far more frequently on a different task
than subjects who were stringently trained even though the achievements
for both groups were comparable.
There exists a substantial body of evidence that modeling processes
play a highly influential role in the transmission of self-reinforcement
patterns. In the prototypic experiment (Bandura & Kupers, 1964) sub-
jects observe a model performing a task in which he adopts either a high
performance standard or a relatively low criterion for self-reinforcement.
On trials in which the model attains or exceeds the self-imposed demand
he rewards himself materially and expresses positive self-evaluations, but
when his attainments fall short of the adopted behavioral requirements
he denies himself available rewards and reacts in a self- derogatory man-
ner. Later .observers perform the task, during which they receive a pre-
determined range of scores and the performances for which they reward
themselves are recorded. Within this general paradigm the independent
and interactive effects of a variety of theoretically relevant variables have
been studied including, among others, prior reinforcement history for
achievement behavior and degree of difference in ability from comparison
models (Bandura & Whalen, 1966); presence of conflicting modeling cues
(Bandura, Grusec, & Menlove, 1967; McMains & Liebert, 1968), reward-
ing qualities of the model and social reinforcement of the model's stand-
ard-setting behavior (Bandura, Grusec, & Menlove, 1967); whether ma-
terial self-reward is accompanied by verbal self-evaluation (Liebert &
Allen, 1967); and the generosity with which symbolic rewards are self-
administered (Marston, 1965a).
The results of these studies show that people generally adopt the
standards for self-reinforcement exhibited by exemplary models, they
evaluate their own performances relative to that standard, and then they
serve as their own reinforcing agents. For instance, those who have been
exposed to models setting low standards tend to be highly self-rewarding
and self -approving for comparatively mediocre performances. By con-
34 CAUSAL PROCESSES

trast, persons who have observed models adhereto stringent performance

demands display considerable and self-dissatisfaction for ob-
self-denial
jectively identical accomplishments. These findings illustrate how self-
esteem, self-concept and related self-evaluative processes can be concep-
tualized within a social-learning framework. From this perspective, a
negative self-concept is defined in terms of a high frequency of negative
self-reinforcement and conversely, a favorable self-concept is reflected in
a relatively high incidence of positive self-reinforcement (Marston,
1965b).
Although specific patterns of self-reinforcing responses can be ac-
quired observationally without the mediation of direct external reinforce-
ment, undoubtedly the valuation of performances that fall short of, match,
or exceed a reference norm results partly from past differential reinforce-
ments. Thus, for example, parents who expect their children to exceed the
average performance of their group in whatever tasks they undertake will
selectivelyreward superior achievements and punish or nonreward average
and lower level attainments. Differential achievement levels thus assume
positive and negative valence and the performance standard common to
the various activities is eventually abstracted and applied to new endeav-
ors. That is, a person for whom average performances have been repeat-

edly devalued will come to regard modal achievements on new tasks as

inadequate and attainments that surpass modal levels as commendable.
Once the evaluative properties of differential accomplishments are well
established, adequate or inadequate matches are likely to elicit similar
self -reinforcing responses irrespective of the specific performances being
compared. At this stage the whole process becomes relatively independ-
ent of external reinforcement and the specific contingencies of the original
training situations, butit remains dependent upon cognitive evaluations

based on the match between self-prescribed standards, performance, and

the attainments of reference models. Social comparison processes become
involved because in the case of most performances objective criteria of
adequacy are lacking; hence the attainments of other persons must be
utilized as the norm against which meaningful self-evaluation can be
made.
Under naturally occurring conditions modeling and reinforcement
practices often operate concurrently in ways that either supplement or
counteract each other. Findings of research in which both of these sources
of influence are varied simultaneously McMains & Liebert, 1968; Mischel
(

& Liebert, 1966; Rosenhan, Frederick, & Burrowes, 1968) show that self-
rewards are most sparingly administered when stringent performance
standards have been consistently modeled and imposed, whereas social-
learning conditions in which persons both model and reinforce lenient
behavioral demands produce generous self-reward patterns of behavior.
Interpretation of Causal Processes 35

In everyday people frequently model the very behavior they decry in

life

others. Discrepant practices in which models prescribe stringent stand-

ards for others but impose lenient ones upon themselves, or impose aus-
tere demands on themselves and lenient ones on others, reduce the likeli-
hood that high norms will be internalized.
Of particular relevance to self-regulatory processes is evidence that
self-monitored reinforcement can, in fact, maintain behavior. To test the
and externally imposed systems of re-
relative efficacy of self-monitored
inforcement, Bandura & Perloff (1967) conducted an experiment in the
following manner: Children worked at a task in which they could achieve
progressively higher scores by performing increasingly more effortful re-
sponses. Children in the self -reinforcement condition selected their own
achievement standards and rewarded themselves whenever they attained
their self -prescribed norms. Children assigned to an externally imposed
reinforcement condition were matched with the self-reward group so that
the same performance standard was set for them and the reinforcers were
automatically delivered whenever they reached the predetermined level.
To ascertain whether subjects' behavioral productivity was due to the
operation of contingent reinforcement or to gratitude for the rewards that
were made available, children in an incentive-control group performed
the task after they had received the supply of rewards on a noncontingent
basis. A fourth group worked without any incentives to estimate the
amount of behavior produced by the properties of the task itself. Because
the capacity to maintain effortful behavior over time is the most impor-
tant attribute of a reinforcement operation, the dependent measure was
the number of responses the children performed until they no longer
wished to continue the activity.
As shown graphically in Figure 1-2, both self -monitored and externally
imposed reinforcement systems sustained substantially more behavior
than did either the noncontingent reward or the nonreward condition,
which did not differ from each other. Of even greater interest is the prev-
alence with which children in the self-monitored condition imposed upon
themselves highly unfavorable schedules of reinforcement. Not a single
child chose the lowest score which required the least effort, while approx-
imately half of them selected the highest achievement level as the per-
formance meriting self-reward. Moreover, a third of the children subse-
quently altered their initial standard to a higher level, without a com-
mensurate increase in amount of self-reward, thereby imposing upon
themselves a more unfavorable ratio of work to reinforcement. This be-
havior is all the more striking because the self-imposition of stringent
performance demands occurred in the absence of any social surveillance
and under high permissiveness for self-reward.
It can be reasonably assumed that most older children have acquired
36 CAUSAL PROCESSES

3000
Boys

2500

fe 2000

| 1500
o

E
i 1000

500

Self External Incentive No-Incentive

Reinforcement Reinforcement Control Control

Figure 1-2. Behavioral productivity of children under conditions

in which
were self-reinforced or externally reinforced, or in which thev
their responses
were rewarded noncontingentlv or not at all. Bandura & Perloff, 1967.

standards of achievement through modeling and differential reinforce-

ment and have undergone experiences in which rewarding oneself for
performances judged to be unworthy has been socially disapproved.
Hence, under conditions where persons are provided with ample oppor-
tunities to optimize their material outcomes by engaging in behavior
which has low self-regard value, strongly conflicting tendencies are likely
to be aroused. On the one hand, individuals are tempted to maximize re-
wards at minimum costs of effort to themselves, but on the other hand,
low quality performances produce negative self-evaluative consequences
which, if sufficiently strong, may inhibit undeserving self-compensation.
Indeed, many of the children in the experiment set themselves perform-
Interpretation of Causal Processes 37

ance requirements that incurred high effort costs at minimum material

recompense. These findings are at variance with what one might expect
on the basis of reward-cost theories, unless these formulations include
the self-esteem costs of rewarding devalued behavior.
After a self -monitored reinforcement system has been well established,
a given performance produces two sets of consequences — a self-evaluative
reaction as well as some external outcome. In many instances self-gener-
ated and externally occurring consequences may conflict, as when certain
courses of action are approved and encouraged by others, but if carried
out would give rise to self-critical and negative self-evaluative reactions.
Under these circumstances, the effects of self -reinforcement may prevail
over external influences. Conversely, response patterns may be effectively
maintained by self -reinforcement operations under conditions of minimal
external support. It is perhaps because of the stabilizing effects of self-
reinforcement that persons do not ordinarily behave like weathervanes
in the face of conflicting contingencies of reinforcement which they re-
peatedly encounter in their social environment. The fact that self-rein-
forcement may substitute for, supplement, or override the effects of ex-
ternally occurring outcomes (Kanfer, 1968) complicates interpretation of
behavioral changes supposedly due to external reinforcement.
Discussions of psychopathology generally emphasize deficit conditions,
response inhibitions, and avoidance mechanisms. However, personal prob-
lems frequently result from dysfunctions in self -reinforcement systems.
Many of the people who seek treatment are neither incompetent nor anx-
iously inhibited, but they experience a great deal of personal distress
stemming from excessively high standards for self-evaluation, often sup-
ported by unfavorable comparisons with models noted for their extraordi-
nary achievements. This process typically gives rise to depressive reac-
tions, to feelings of worthlessness and lack of purposefulness, and to les-
sened disposition to perform because of negative self-generated conse-
quences. In its more extreme forms this problem is reflected in behaviors
designed to escape self-generated anguish through alcoholism, grandiose
ideation, unwillingness to engage in activities that may have important
self-evaluative implications, and other forms of avoidance behavior. The
modification of self -reinforcement patterns constitutes a principal psycho-
therapeutic objective in conditions involving burdensome self -demands.
Social behavior is usually regulated to some extent by covert self -rein-

forcing operations which rely upon symbolically generated consequences

in the form of self-commendation, esteem-enhancing reactions, or self-
deprecation. Persons who have failed to develop self-monitoring rein-
forcement systems, or those who make self-reward contingent upon
skillful performance of antisocial behavior, require considerable social
38 CAUSAL PROCESSES

surveillance to ensure that they do not transgress. Similarly, individuals

who set lax behavioral standards for themselves are inclined to displav
low achievement behavior and a liberal self-gratification pattern of life.

Symbolic Regulation of Behavior

Some psychological theories, while acknowledging that stimulus-re-

sponse covariations are mediated by covert events, nevertheless adhere
rigorously to causal explanations of behavior couched almost exclusively
in terms of external manipulable variables. The pursuit of external causes
rests on the basic assumption that covert processes are lawfully deter-
mined by externally occurring events and, therefore, thev can be bypassed
in the prediction and control of behavior. This view has been advocated
most forcefully by Skinner ( 1953 "The objection to inner states is not
) :

that they do not exist, but that they are not relevant in a functional anal-
ysis.We cannot account for the behavior of any system while staving
wholly inside it; eventually we must turn to forces operating upon the
organism from without [p. 35]."
The common practice of invoking spurious inner states or agents as
determiners of behavior has also produced justifiable wariness of inferen-
tial variables. After a given response pattern has been attributed to the
action of a psychic homunculus, the search for controlling conditions
promptly ceases. Although the use of the more colorful animistic entities
in explanatory schemes is declining, the tendency to offer new descriptive
labels for behavioral phenomena in the guise of explanations remains a
flourishing practice.
The phenomena results primarily from
relative neglect of experiential
their limited accessibility.Thought processes are directly accessible only
to the person within whom thev occur and therefore their presence, ab-
sence, and exact nature cannot be independently verified. As a conse-
quence, one is forced to rely upon verbal self-reports and other indirect
indices of events occurring at a private level. In discussions of the me-
thodological problems and theoretical issues regarding symbolic processes
it is customarv to belabor the limitations and inaccuracies of self -reports.

It is emphasized that, due to defective self-descriptive facility and various

distorting influences, public and private events may be imperfectly cor-

related. Not only are private events difficult to identify, but since they
cannot be directly manipulated they have limited value in the causal
analysis or practical control of behavior. These dissuading arguments,
however, never cite the innumerable studies demonstrating that, under
many conditions, self-described covert events have much greater predic-
tive power and regulatory influence over behavior than the externally
Interpretation of Causal Processes 39

manipulated variables typically assigned the central explanatory role in

change processes.
There exists ample evidence that one cannot account satisfactorily for
human behavior while remaining entirely outside the organism, because
overt behavior is often governed by self-generated stimulation that is rel-
atively independent of environmental stimulus events. For purposes of
illustration, let us consider an experiment conducted by Miller (1951) to
demonstrate how emotional responding can be brought under thought
control. Students were asked to pronounce aloud the symbols of T and 4
as they were presented in a random sequence. The utterence T was con-
sistently followed by shock stimulation, whereas the 4 was never shocked.
After the discrimination had been established, subjects were presented
with a series of dots and instructed to think T to the first dot, 4 to the
second one, and so on in an alternating sequence. Subjects displayed a
highly discriminative pattern of autonomic responses with thoughts of T
eliciting large autonomic responses and thoughts of 4 producing virtually
no reaction. This discriminative responding cannot be accounted for in
terms of the properties of the external dot stimuli, which are identical and
merely signal the occasions for self-generated cognitive activities that
produce emotional responsiveness. In fact, the trivial function of external
stimuli could be entirely eliminated simply by instructing subjects to
generate the aversive and neutral thoughts in an unpredictable sequence
and to signal by a kev press whichever cognitive event they were about
to produce. Knowledge of the subject's pattern of self-generated thoughts
would permit accurate prediction of his autonomic responses. In natu-
ralistic situations a brief external stimulus often initiates a long chain of
cognitive activities thatis largely determined by mediational associative

linkages rather than by the temporally remote environmental input.

Under conditions where thought processes essentially serve as the first
link in causal sequences, one can predict behavior most accurately on the
basis of subject-defined internal stimulation. Until instruments that can
discriminate subtle differences between symbolic events are developed, a
comprehensive approach to the understanding of human behavior will
have to rely upon an individual both as the agent and the object of study.
Most current experimentation simply avoids the issues of internal stimu-
lus controlby confining research to behavioral phenomena that can be
brought under the influence of physical properties of external stimuli.
In a paper devoted to the control of implicit events Homme (1965)
indicates that the problems of covert response definition and detection
have been needlessly exaggerated. He rightfully contends that under
most conditions the presence or absence of covert activities can be easily
detected by the person in whom they are occurring. As will be shown in
 )

40 CAUSAL PROCESSES

the concluding chapter, persons can not only reliably discriminate inter-
nal events, but they can manipulate them by making self-reinforcement
contingent upon their occurrence. Furthermore, thought-induced affective
reactions may be successfully employed for purposes of controlling one's
own overt behavior. In the above instances implicit activities constitute
either important phenomena in their own right or causal antecedents
rather than mere internal accompaniments of behavioral and environ-
mental events.
There are innumerable psychological processes in which internal me-
diating events must occur before external stimuli will exercise control
over overt performances. Verbal mediators, in the form of self -instruc-
tions, implicit categorizing responses, or linkages through common word
associates, are perhaps the most prevalent symbolic regulators of behav-
ior. Persons must often relv on verbal self-control when external stimuli
for correct responses are absent (Bern, 1967; Luria, 1961). Also, in many
forms of conceptual behavior or in semantic generalization persons dis-

play a common response to highly dissimilar stimuli (e.g., artichokes,

strawberries, lobsters, onion soup, leg of lamb, rye bread, wine, and choc-
olate souffle). Performance under these conditions is governed by a medi-
ating rule or a common verbally labeled attribute ( healthful edibles
rather than by the physical characteristics of the external stimuli alone
(Bourne, 1966). In a nonmediational account of conceptual behavior,
Ferster ( 1968 ) equates conceptualization with abstract stimulus control
wherebw through selective reinforcement, a common property of diverse
complex stimuli comes to control the response. The view is advanced that
"the term abstract stimulus control is somewhat preferable to concept
formation because it emphasizes the controlling properties of the stimu-
lus rather than an inner and unreachable process [p. 404]." The limita-
tions of this type of approach become readily apparent in eases, such as
the one cited above, where different stimuli have no physical property in
common but must be categorized on the basis of a symbolically labeled
attribute.
In most higher-level functioning, the implicit rules regulating behav-
ior cannot be defined solely in terms of stimulus properties or combina-
tions of stimulus elements. In an experiment conducted by Sassenrath
(1962), for example, students were presented with a series of words of
various lengths, to which they were required to respond with correct
numbers be consistently produced only by recourse to a com-
that could
plicated but unspecified code. The principle upon which reinforcement
was administered consisted of 11 minus the number of letters in the stim-
ulus word, so that correct responding had to be determined by symbolic
transformations of external stimuli. Subjects eventually made accurate
symbolic transformations, which then became inner stimuli for accurate
Interpretation of Causal Processes 41

responsiveness.The process of self -reinforcement, in which persons self-

administer rewarding or punishing consequences on the basis of implicit
standards of conduct, is another phenomenon involving internal rule-
regulated behavior.
Behavior may also be governed to some extent by imaginal mediators
which represent previously observed behavioral events and environmen-
tal situations. It is exceedingly difficult to think about the actions of peo-
ple in given settings or features of one's physical environment without
experiencing corresponding visual imagery. The highly influential role of
symbolic processes in behavioral change most evident in vicarious or
is

observational learning (Bandura, 1965). The paradigm utilized to study

this phenomenon involves a nonresponse acquisition procedure in which
a person merely observes a model's behavior but otherwise exhibits no
overt instrumental responses; nor is any reinforcing stimuli administered
during the acquisition period. Exposure to modeling influences is an ex-
ceedingly effective means of transmitting and modifying conceptual and
social behavior. Since in this mode of response acquisition observers can
acquire only perceptual and other implicit responses resembling the mod-
eled patterns while they are occurring, imaginal and verbal mediators
that govern subsequent response retrieval and reproduction clearly play
a prominent role in observational learning.
There is a growing body of evidence (Bower, 1969; Paivio, 1969) that
imaginal processes serve a mediating function in facilitating verbal asso-
ciative learning. In these studies, imaginal mediators are manipulated
experimentally by instructing subjects to link the members
of each pair
of stimulus and response terms with a distinctive image, and by using
stimulus items that vary in their capacity to evoke vivid imagery. The
findings demonstrate that during paired presentations subjects code stim-
ulus and response events into mental images for memory representation;
later, the stimuli serve as cues that reinstate the compound image from

which the response component is decoded to its original verbal form.

Imaginally mediated associative learning is far superior to that in which
this type of representational process is minimally operative.
Some evidence exists to suggest that arousal mediators may also exer-
over emotional behavior. According to the dual
cise a regulatory function
process theory of avoidance behavior, stimuli acquire, through their tem-
poral conjunction with aversive experiences, the capacity to produce
arousal reactions which have both central and autonomic components. It

is further assumed that instrumental avoidance responses become partly

conditioned to arousal-correlated stimuli. The most direct evidence that
arousal mediators operating primarily at the central level exercise discrim-
inative control over avoidance behavior is provided by Solomon & Turner
(1962). Animals first learned to make an avoidance response to a light
42 CAUSAL PROCESSES

stimulus.They were then skeletally immobilized by curare to prevent

avoidance responses from being conditioned directly to external stimuli;
shock was paired with one tone, while a contrasting tone was never asso-
ciated with aversive stimulation. In subsequent tests the animals dis-
played essentially the same degree of avoidance in response to the nega-
tively valenced tone and the light, both of which evoked common arousal
reactions, whereas avoidance responses rarely occurred to the neutral
tone. Considering that the light and the tones were never associated, and
assuming that the curare blocked all skeletal activity ( Black, 1967 ) thus ,

precluding any differential conditioning of avoidance responses to the

power of the negatively valenced auditory stimulus
tones, the controlling
must be mediated through either events in the central nervous system or
autonomic feedback mechanisms.
Further demonstrations of internal regulation of behavior are fur-
nished by studies (Bailey, 1955; Bailey & Porter, 1955; Levine, 1953), in
which infrahuman subjects must learn to respond differentially on the
basis of internal stimulation associated with different drive states like
thirstor hunger because the environment contains no distinguishable
guiding cues. Under these conditions the differential cues provided by
internal drive states, or even different intensities of the same drive, give
rise to dissimilar patterns of behavior. These findings are consistent with
those cited earlier in which internal stimuli are endowed with controlling
properties through interoceptive conditioning.
The powerful is most vividly illustrated
internal control of behavior
in grosslv deviant behavior for which the controlling contingencies are
almost entirely symbolically generated. The passage quoted below (Bate-
son, 1961), was taken from a patient's account of his psychosis long be-
fore it was fashionable to write about one's psychiatric experiences. The
narrator had received a scrupulously moralistic upbringing according to

which even most socially approved patterns of behavior were considered

deviant, sinful, and likely to provoke the wrath of God; consequently
many innocuous such as accepting medication, elicited dreadful ap-
acts,

prehensions, which, in turn, motivated and maintained exceedingly pain-

ful atonement rituals designed to forestall the imagined disastrous con-
sequences.

In the night awoke under the most dreadful impressions, I heard

I

a voice addressing me, and I was made to imagine that my disobedience

to the faith, in taking the medicine overnight, had not only offended the

Lord, but had rendered the work of my salvation extremely difficult, by

its effect upon my spirits and humours. I heard that I could only be saved
now by being changed into a spiritual body ... A spirit came upon me
and prepared to guide me in my actions. I was lying on my back, and
Interpretation of Causal Processes 43

seemed to light on my pillow by my right ear, and to command

the spirit
my I was placed in a fatiguing attitude, resting on my feet, my
body.
knees drawn up and on my head, and made to swing my body from
side to side without ceasing. In the meantime, I heard voices without and
within me, and sounds as of the clanking of iron, and the breathing of
great forge bellows, and the force of flames. I understood that I was only
saved by the mercy of Jesus, from seeing, as well as hearing, hell around
me, and that if I were not obedient to His spirit, I should inevitably

awake in hell before the morning. After some time I had a little rest,
and then, actuated by the same spirit, I took a like position on the floor,
where I remained, until I understood that the work of the Lord was
perfected, and that now my salvation was secured; at the same time the
guidance of the spirit left me, and I became in doubt what next I was to
do. I understood that this provoked the Lord, as if I was affecting igno-
rance when
knew what I was to do, and, after some hesitation, I heard
I

the command, to "Take your position on the floor again then," but I had
no guidance or no perfect guidance do so, and could not resume it. I
to
was told, however, that my
depended upon my maintaining that
salvation
position as well as I could until the morning; and oh! great was my joy
when I perceived the first brightness of the dawn, which I could scarcely
believe had arrived so early [pp. 28-29].

The above quotation provides a clear example of how behavior can

come under the complete control of fictional contingencies and fantasied
reinforcements powerful enough to override the influence of the reinforce-
ment contingencies existing within the social environment. Thus the ac-
ceptance of medicine, an act that was later considered a rebellion against,
and the mistrust of, the Almighty, generated extremely aversive halluci-
nations of hellish torture, the cessation of which was contingent upon the
performance of arduous bizarre behavior. The nonoccurrence of subjec-
tively experienced, but objectively nonexistent threats, undoubtedly serves
as an important mechanism maintaining many other types of psychotic
behavior. Given the conjunction of fictional contingencies and a powerful
internal reinforcing system, a person's behavior is likely to remain under
very poor environmental control even in the face of severe externally ad-
ministered punishments and blatant disconfirming experiences.

When I I found a stout man servant on the landing,

opened the door,
who told me was placed there to forbid my going out, by the
that he
orders of Dr. P. and my friend; on my remonstrating, he followed me into
my room and stood before the door. I insisted on going out; he, on pre-
venting me. I warned him of the danger he incurred in opposing the will
of the Holy Spirit, I prayed him to let me pass, or otherwise an evil
44 CAUSAL PROCESSES

would befall him, for that I was a prophet of the Lord. He was not a
whit shaken by my address, so, after again and again adjuring him, by
the desire of the Spirit whose word I heard, I seized one of his arms,
desiring to wither it; my words were idle, no effect followed, and I was
ashamed and astonished.
Then, thought I, I have been made a
fool of! But I did not on that
account mistrust the doctrines by which had been exposed to this error. I

The doctrines, thought I, are true; but I am mocked at by the Almighty

for my disobedience to them, and at the same time, I have the guilt
and the grief, of bringing discredit upon the truth, by my obedience
to a spirit of mockery, or, by my disobedience to the Holy Spirit; for

there were not wanting voices to suggest to me, that the reason why
the miracle had I had not waited
failed, was, that for the Spirit to
guide my action when
word was spoken and that
the I had seized the
man's arm with the wrong hand ... [p. 33].

The voices informed me, that my conduct was owing to a spirit of

mockery and blasphemy having possession of me that I must, in . . .

the power of the Holy Spirit, redeem myself, and rid myself of the spirits
of blasphemy and mockery that had taken possession of me.
The way in which I was tempted to do this was by throwing myself
on the top of my head backwards, and so resting on the top of my head
and on my feet alone, to turn from one side to the other until I had
broken my neck. I suppose by this time I was already in a state of fever-
ish delirium, but my good sense and prudence still refused to undertake

this strange action. I was then accused of faithlessness and cowardice, of

fearing man more than God.
I attempted the command, the servant prevented me. I lay down con-
tented to have proved myself willing to obey in spite of his presence, but
now I was accused of not daring to wrestle with him unto blows. I

again attempted what I was enjoined. The man seized me, I tore myself
from him, telling him it was necessary for my salvation; he left me
and went down stairs. I then tried to perform what had begun; but
I

now I found, either that I could not so jerk myself round on my head,
or that my fear of breaking my neck was really too strong for my faith.

In that case I then certainly mocked, for my efforts were not sincere.

Failing in my attempts, I was directed to expectorate violently, in

order to get rid of my two formidable enemies; and then again I was
told to drink water, and the Almighty was satisfied; but that I was not
satisfied (neither could I be sincerely, for I knew that I had not fulfilled

his commands), I up my position again; I did so, my attend-

was to take

ant came up with an assistant and they forced me into a straight waist-
coat. Even then I again tried to resume the position to which I was again
Social Learning as a Reciprocal Influence Process 45

challenged. They then tied my legs to the bed-posts, and so secured me

[pp. 34-35].

The process of behavioral change will be conceptualized quite differ-

ently depending upon whether one assumes that responses are regulated
predominantly by external stimulus events or partly bv mediating sym-
bolic events. In nonmediational interpretations, learning is depicted as a
more or less automatic process wherein stimuli become associated with
overt responses through differential reinforcement. By contrast, in media-
tional formulations the learner plays a far more active role and his respon-
siveness is subject to extensive cognitive determination. On the basis of
salience of environmental events and past learning experiences persons
select the stimuli to which they will respond; environmental events are
coded and organized for representation in memory; provisional hypoth-
eses regarding the principles governing the occurrence of reinforcement
are derived from differential consequences accompanying overt behavior;
and after a given implicit hvpothesis has been adequatelv confirmed by
successful corresponding actions, the mediating rules or principles serve
to guide the performance of appropriate responses on future occasions.
Relevant empirical evidence bearing on these two theoretical approaches
will be reviewed in the concluding chapter of this book.
It has been customary in psychological theorizing to construct entire
explanatory schemes around a single form of behavioral control, to the
relative neglect of other obviously influential variables and processes.
Thus, for example, some psychologists have tended to concentrate upon
stimulus control effected principally through classical-conditioning opera-
tions; Skinnerians have primarily focused upon external reinforcement
control of behavior; and researchers favoring cognitive interpretations
have been most preoccupied with mediational processes. These resolute
allegiances to partial processes are typically accompanied by some disdain
for variables patronized bv out-group theorists. A comprehensive theory
of human behavior must encompass all three sources of behavioral regu-
lation, i.e., stimulus control, internal symbolic control, and outcome con-
trol. In many situations, of course, two or more of these processes may

operate simultaneously in governing responsiveness.

Social Learning as a Reciprocal Influence Process

Psychodynamic theories of personality typically depict the deviant ac-

tions of individuals as being impelled by powerful internal forces that
they not only are unable to control, but whose existence they do not even
recognize. On the other hand, behavioral formulations often characterize
response patterns as depending on environmental contingencies. The en-
46 CAUSAL PROCESSES

vironment is presented as a more or less fixed property that impinges

upon individuals and to which their behavior eventually adapts. Neither
view of man is particularly heartening nor entirely accurate.
Psychological functioning, in fact, involves a continuous Teciprocal in-
teraction between behavior and its controlling conditions. Although ac-
tions are regulated by their consequences, the controlling environment is,
in turn, often significantly altered by the behavior. Examples of the way
in which behavior shapes the environment can be found even in simple
experiments with infrahuman subjects. As a means of studving the acqui-
sition of avoidance responses, Sidman (1960, 1966) devised a paradigm
in which animals could postpone the occurrence of aversive shocks by
depressing a lever. Under these conditions some animals created for them-
selves an essentially punishment-free environment, whereas others who,
for one reason or another, were slow in acquiring the requisite coping
response produced a highly aversive milieu. When response changes are
selected as the data for analysis, as is almost invariably the case, then the
environmental contingencies appear to be fixed, controlling conditions; if,

instead, one analyzed the data for the amount of aversive stimulation cre-
ated by each subject, then the environment becomes the changeworthy
event that may vary considerably for different subjects and at different
times for the same subject. Within the framework of environmental anal-
ysis, one might, for instance, administer alcohol to one group of subjects

in the Sidman paradigm and water to another, and then compare the

types of aversive environments produced under intoxicated and sober

conditions.
Interpersonal situations, of course, provide much greater latitude for
determining the contingencies that maintain one's behavior. In social in-
terchanges the behavior of one person exerts some degree of control over
the actions of others. To take an example, counterreactions drawn by hos-
tile responses are likely to be quite different from those elicited by
friendly ones. Experimental analysis by Rausch (1965) of sequential in-
terchanges between children, in immediately pre-
fact, reveals that the

ceding stimulus act on the part of one person was the major determinant
of the other person's response. In approximately 75 percent of the in-
stances, hostile behavior elicited unfriendly responses, whereas cordial
antecedent acts seldom did. Aggressive children thus created through
their actions a environment, whereas children who displayed
hostile
friendly interpersonal of response generated an amicable social
modes
milieu. These findings demonstrate that persons, far from being ruled by
an imposing environment, play an active role in constructing their own
reinforcement contingencies through their characteristic modes of re-
sponse. The theon' of social interaction advanced by Thibaut & Kelley
(1959) relies heavily upon mutual reinforcement contingencies. Research
Social Learning as a Reciprocal Influence Process 47

stimulated by this conceptualization provides numerous demonstrations

of how outcomes in dyadic interchanges are jointly determined by the
behavior of both participants.
It might be argued that if each person partly creates his own environ-
ment then there is no one remaining to be influenced. This apparent para-

dox overlooks the fact that reciprocity is rarely perfect, since one's be-
havior is not the sole determinant of subsequent events. Furthermore,

controlling and controllable events usually occur in an alternating pattern

rather than concurrently until the interaction sequence is terminated. The
reciprocal reinforcement process involved in the unwitting production
and strengthening of tantrum behavior in children will serve to illustrate
On most occasions children's mild requests go unheeded
the latter point.
because the parent is preoccupied with other activities. If subsequent
bids also go unrewarded the child will generally display progressively
more intense forms of behavior which become increasingly aversive to
the parent. At this point in the interaction sequence the child is exercising
aversive control over the parent. Eventually the parent is forced to termi-
nate the troublesome behavior by attending to the child, thereby reinforc-
ing obstreperous responsiveness. Such differential reinforcement practices
are highly effective in producing aversive forms of behavior of unusual
resiliency. Some of the most vivid examples of pernicious reciprocal con-
trol are provided in Levy's (1943) classic study of childhood overde-
pendency:

Patient (4 years, 9 months) rules the household by his screaming and

imperative voice. Mother will always comply with his demands rather
than hear him scream. . . . The patient is disobedient, hyperactive, im-
pudent to the parents; calls them names, kicks and scratches when not
given his own way . . .
[pp. 361-363].

In complete command, dominating mother and sister, who yielded

in every instance rather than endure his scenes, a fourteen-year-old re-

fused to go to school. He lay in bed, ordered his sister to get his break-
fast, bring his clothes, and struck her when she disobeyed [p. 163]. . . .

Mother states that he (10-year-old) was spoiled by herself and

maternal grandmother, and later she gave in to his demands for the
sake of peace . . . Whenever refused, he always commanded obedience
by screaming [pp. 383-384] . . . After screaming no longer availed,
he used the method of nagging, monotonously repeating his demands
[p. 163].

The above case material illustrates how certain reinforcement prac-

tices generate particular behavior, which, due to its aversive properties,
48 CAUSAL PROCESSES

in turn creates the very conditions likely to perpetuate it. Thus while

nature's programming ensured that people's distress would not go un-

heeded for long, it also provided the basis for the establishment of so-
cially disturbing response patterns. Interpersonal difficulties are most
likely to arise under conditions where a person has developed a narrow
range of social responses which periodically force reinforcing actions
from others through aversive control (e.g., nagging complaints, aggres-
sive behavior, helplessness, sick-role behavior, and emotional expressions
of rejection, suffering, and distress, and other modes of responding that
command attention). The treatment strategies are quite different de-
pending upon whether one views such behavior in terms of its functional
value in controlling the responsiveness of others or as by-products of
intrapsychic disturbances. Deleterious reciprocal processes can be best
eliminated by withdrawing the reinforcement supporting the deviant
behavior and by hastening the development of more constructive means
of securing desired reactions from others.
It is only because there is some degree of self-determination of out-

comes that treatment of an individual is justifiable. To the extent that

newly established patterns of behavior create favorable reciprocally re-
inforcing processes, they will be effectively sustained over time. However,
in instances where one person's behavior exerts little or no control over
the actions of others, perhaps from disparities in status or power, it may
become necessary to effect changes in other people important to him,
or in the social system itself.

Symptom Substitution

It is generally assumed by therapists who subscribe to psychodynamic

models that direct modification of deviant behavior is likely to result in
"symptom substitution." This issue, like others pertaining to the develop-
ment and treatment of behavioral dysfunctions, has become hopelessly
muddled by the use of an inappropriate conceptual scheme which
thoroughly obscures the very phenomena it is designed to elucidate.
It is further obfuscated by partisan claims that no such phenomena exist

(Yates, 1958), and counterclaims that symptom substitution not only

occurs, but that the commuted forms may endanger the very life of
ill-fated clients (Bookbinder, 1962). Relevant outcome data cited later
lead one to suspect that prognostications of dire consequences are in-
tended more to dissuade therapeutic innovation than to protect clients'
welfare. Indeed, as Grossberg 1964 ) has noted, much more serious from
(

a humanitarian standpoint is the failure of "depth" psychotherapies to

effect significant changes in behavioral conditions that produce chronic
suffering and disheartening social and vocational incapacitation.
The dispute about symptom substitution does involve an important
Symptom Substitution 49

psychological phenomenon, but little headway will be made in resolving

this issue as long as it is misconstrued as one of symptomatic versus non-
symptomatic treatment, or modification of causal versus behavioral events.
Even if the concepts of symptom and mental disease were pertinent to
behavioral dysfunctions, which they are not, the symptom substitution
hypothesis could never be satisfactorily tested because it fails to specify
precisely what constitutes a "symptom," when the substitution should oc-
cur, the social conditions under which it is most likely to arise, and the
form that the substitute symptom will take. If consensus could ever be at-
tained in devising an exhaustive list of possible symptomatic behaviors,
one would be forced, in order to prove definitively that symptom substitu-
tion does not occur, to conduct thorough and repeated assessments of cli-
ents' behavior for an indefinite period. This exhaustive toil would still be
all for nought, since there exist no reliable criteria for determining whether

the occurrence of so-called symptomatic behaviors after completion of

treatment represents emergent substitute by-products of a psychic pathol-
ogy, the development of new modes of maladaptive response to environ-
mental pressures, or the persistence of old modes of maladaptive behavior
which had gone unnoticed until even worse behavior was eliminated.
The symptom substitution issue would never have been cast in its pres-
ent misleading form had it been recognized that one cannot eliminate be-
havior as such, except perhaps through direct removal of requisite neuro-
physiological systems. Response patterns can be modified only by altering
the stimulus conditions that regulate their occurrence. Hence, all forms of
psychotherapy, regardless of their self-conferred honorific titles and vir-
tuous aims, effect behavioral changes through either deliberate or unwit-
ting manipulation of controlling variables.
Psychodynamic and social-learning approaches to psychotherapy are,
therefore, equally concerned with modifying the "underlying" determi-
nants of deviant response patterns; however, these theories differ, often
radically, in what they regard these "causes" to be, a crucial difference
which in turn influences the types of stimulus conditions favored in the re-
spective treatments. To take a simple but telling example, in an effort to
gain a better understanding of some of the factors governing deviant be-
havior likely to be labeled "symptomatic," Ayllon, Haughton, & Hughes
(1965) induced and sustained for a time a bizarre broom-carrying re-
sponse in an adult schizophrenic by periodic positive reinforcement of the
behavior. A psychotherapist, who was unaware of the conditions which
had established and maintained this response pattern, invoked the fol-

lowing underlying causes:

Her constant and compulsive pacing, holding a broom in the manner she
does, could be seen as a ritualistic procedure, a magical action. . . .

Her broom would be then: (1) a child that gives her love and she gives
50 CAUSAL PROCESSES

him in return her devotion, (2) a phallic symbol, (3) the sceptre of an
omnipotent queen . . . this is a magical procedure in which the patient
carries out her wishes, expressed in a way that is far beyond our solid,

rational and conventional way of thinking and acting [p. 3].

In treating the persistent display of bizarre and apparently purposeless

behavior on the basis of his causal explanation, would sub-
this therapist,
ject the woman extended interpretive probing of her sexual conflicts and
to
delusions of omnipotence. On the other hand, the behavioral therapist,
viewing the rewarding outcomes as the major determinant of the so-called
psychotic symptom, would alter the reinforcement contingency governing
the behavior. Indeed, when the occasional rewards for earning a broom
were completely withdrawn the "symptom" promptlv vanished and, ac-
cording to a two-year follow-up study, never reappeared.
In light of the above considerations, it would be both more accurate
and advantageous to redefine the causal versus symptomatic treatment
controversy as being primarily concerned with the question of whether a
particular form of therapy chooses to modify conditions that, in actuality,
exercise strong or weak or no significant control over the behavior in ques-
tion.
According to the social-learning point of view, in the course of social
development a person acquires different modes of coping with environ-
mental stresses and demands. These various response strategies form a hi-
erarchy ordered by their probability of effecting favorable outcomes in
certain situations. A particular mode of responding may occupy a domi-
nant position in various hierarchies; subordinate strategies may differ from
one situation to another and may vary widely in their frequency of occur-
rence relative both to the dominant response tendencies and among them-
selves. Consequently the effects of removing a dominant response pattern
will depend upon the number of different areas of functioning in which it

is characteristically activated, and the nature and relative strength of the

initially weaker response dispositions.
One can distinguish several different types of treatment approaches
that are likelv to produce small, unpredictable, or unenduring changes in
deviant behavior suggestive of "symptom substitution." A treatment that
the major controlling conditions of the deviant behavior will
fails to alter

most certainlv prove ineffective. Similarly, a poorly designed program of

therapy aimed solely at eliminating maladaptive behavior patterns does
not in guarantee that desired modes of beha\ior will ensue. This is
itself

particularly true when removal of deviant behavior is brought about

through withdrawal of its usual positive consequences or by punishment
or the imposition of external restraints.
In extinction treatment, as dominant response tendencies are elimi-
Symptom Substitution 51

nated through nonreward, the person will revert to alternative courses of

action,which have proved of some value in the past. If these initially
weaker forms are nondeviant and are adequately reinforced, then deviant
patterns are likely to be abandoned in favor of the competing alternatives
without the emergence of anv negative characteristics. If, on the other
hand, the subordinate set of responses in the client's repertoire is for the
most part unsatisfactory, the therapist will be faced with the task of elimi-
nating a long succession of ineffective patterns of response.
Response substitution is also likely to occur when deviant behavior is
eliminated not by removal of its maintaining conditions but by super-
imposing a competing set of controlling variables (Bandura, 1962). Thus,
for example, antisocial behavior that serves as an effective means of se-
curing positive reinforcement may be temporarily suppressed through
severe punishment. However, if the offender has learned relatively few
prosocial modes of behavior, elimination of one deviant pattern will prob-
ably be followed by anotherset of deviant responses that are more suc-
cessful in avoiding detection and subsequent punishments. Moreover, the
suppressed behavior is likely to reappear in situations where the proba-
bility of detection is low, or the threat of punishment is weaker.
Successive substitution of deviant behavior likewise readily arises
under conditions where defensive responses are either punished or phys-
ically restrained without neutralizing the aversive properties of subjec-
tively threatening situations. This process is well illustrated in Miller's
(1948) classic study of avoidance behavior. Animals were administered
shocks in a white compartment of a shuttle box and learned to escape the
painful stimulation by running through an open door into a black com-
partment. The formerly neutral white cues rapidly acquired aversive
properties, and the animals continued to perform the avoidant running
responses even though the shock stimulation had been completely discon-
tinued. The animals were then placed in the white compartment with the
door closed to block the running behavior. However, the door could be
released by rotating a wheel. Wheel-turning was rapidly learned and main-
tained by fear reduction. When conditions were further changed so that
wheel-turning no longer released the door, but the animal could escape
from the threatening compartment by pressing a bar, the former response
was quickly discarded while the latter became strongly established. Thus
interventions that eliminated avoidance responses without reducing the
arousal potential of conditioned aversive stimuli merely produced new
forms of defensive behavior.
The preceding discussion has focused on approaches which, if used as
the sole method of treatment, may eliminate one form of deviant behavior
but lead to a different one. The problem of deviant response substitution,
however, can be easily forestalled by including in the original treatment
52 CAUSAL PROCESSES

program procedures that effectively remove the reinforcing conditions

which sustain deviant behavior and concurrently foster desirable alterna-
tive modes of behavior. Such treatment strategies, which will be fully re-
viewed in succeeding chapters, not only produce enduring changes in the
selected direction, but may also set in motion beneficial changes in related
areas of psychological functioning.

Efficacy of Conventional Methods of Behavioral Change

A casual survey of contemporary methods of behavioral change would
disclose a multiplicity of "schools" of approaches, each claiming respect-
able improvement rates for their particular clientele. A closer examination
of these treatment approaches, however, reveals that the apparently multi-
farious systems represent essentially a single procedure: they all utilize a
social relationship and place heavy reliance upon verbal interpretive meth-
ods for inducing changes in social behavior. Moreover, only a small range
of persons exhibiting behavioral deviations are actually treated, with
varying degrees of success, by interpretive methods.
In the first place, most antisocial personalities, who constitute a sizable
proportion of the deviant population, simply "serve time" in penal institu-
tions or remain under legal surveillance. Since such persons generally
prove unresponsive to traditional techniques, many psychotherapists have
become pessimistic about the value of psychotherapy for modifying "psy-
chopathic" or antisocially deviant behavior. In the case of younger delin-
more structured
quents, correctional institutions, though often providing a
and nonpunitive environment than the children have formerly experi-
enced, rarely offer systematic programs that are efficacious in producing
enduring behavioral and attitudinal changes. Similarly, most persons ex-
hibiting gross behavioral dysfunctions, who also derive relatively little
benefit from conventional interview approaches, are provided mainly with
medication, "occupational therapy" in the form of carrying out institu-
tional routines, recreational activities and custodial care in "mental" insti-
tutions, where they become intermittent or permanent residents. Indeed,
the least socially responsive psychotics are customarily assigned to essen-
tially custodial wards where they receive only medication and where they

mutually extinguish one another's limited social behaviors. Nor have con-
ventional methods of behavioral change had much beneficial impact upon
the widespread problems of alcoholism, drug addiction, and a host of other
major social problems which, in some instances, require modification of
social systems rather than the behavior of isolated individuals.
Even in the restricted sample of persons who consult psychotherapists
and are accepted for treatment, the dropout rates and the estimates of
behavioral change for those who remain in treatment give little cause
 .

Efficacy of Conventional Methods of Behavioral Change 53

for complacency. Between 30 and 60 percent of this highly selected group

(diagnosed predominantly as neurotic and excluding grossly psychotic,
alcoholic, antisocial, and neurologically involved cases), terminate treat-
ment against the advice of their therapists after several initial interviews
(Frank, Gliedman, Imber, Nash, & Stone, 1957; Garfield & Kurz, 1952;
Imber, Nash, & Stone, 1955; Kirtner & Cartwright, 1958; Knight, 1941;
Kurland, 1956; Mensh & Golden, 1951; Rickles, Klein, & Bassan, 1950).
Of those clients who continue in the therapy programs, irrespective of the
type of treatment administered, approximately two-thirds are usually
rated as exhibiting some degree of improvement ( Appel, Lhamon, Myers,
& Harvey, 1951; Eysenck, 1952; Frank et al., 1957; Kirtner & Cartwright,
1958; Zubin, 1953). Although the above figures are based on studies of
adults, there is little reason to believe that the picture is very different
in the case of children ( Levitt, 1963 )

CRITERIA OF CHANGE
The two-thirds improved figure, which has been widely and uncriti-
cally accepted as the typical base rate of change accompanying interview
therapies, overestimates the amount of benefit that people actually derive
from such treatment. The criteria upon which judgments of therapeutic
efficacy are usually based leave much to be desired. In many instances
psychotherapists' global impressions of their results serve as the major
indicants of outcome. Considering that such ratings reflect upon thera-
pists' professional competence, it is reasonable to assume that therapists

do not underrate the therapeutic value of their methods.

Projective tests and personality questionnaires have also been exten-
sively employed as the principal measures for evaluating psychotherapy.
Their widespread popularity is probably more attributable to their avail-
ability and ease of administration and scoring than to their direct rele-
vance to types of psychological changes that clients hope to achieve by
undergoing psychotherapy. If the proverbial Martian were to review the
therapy outcome literature he would undoubtedly conclude that earth
men embark upon expensive and time-consuming programs of treatment
to effect modifications in their Rorschach, TAT, or MMPI responses,
rather than to overcome behavioral inhibitions, to resolve chronic inter-
personal problems, to gain control over alcoholism, or otherwise to en-
hance their level of social functioning. Since the behavioral correlates of
these personality test measures are considerably in doubt (Mischel, 1968),
evidence that test responses have changed is of limited value in judging
the relative success of given approaches to treatment. This is particularly
true in view of the fact that responses to personality tests are readily
amenable to response-set biases, to implicit expectations inherent in the
setting, and to other extraneous influences.
54 CAUSAL PROCESSES

A third course for the evaluation of psychotherapeutic efficacy, in

vogue for a long times, focuses on changes in clients' verbal behavior in
interview situations. Dedicated researchers have devoted literally thou-
sands of arduous hours to counting the frequency of clients' self-reference
statements, affective verbalizations, resistive comments, self-exploratory
remarks, type-token ratios, and a host of other verbal contents. Although
thisapproach yields readily quantifiable data that possess some face va-
lidity,there is little evidence that changes observed in clients' verbal
behavior influence appreciably their daily interpersonal responsiveness.
These verbal indices are, therefore, more pertinent to evaluating verbal
conditioning than fundamental behavioral change processes.
Inasmuch as persons typically seek the help of psychotherapists in
order to modify faulty interpersonal modes of responding and the adverse
consequences these engender, it is remarkable that until recently behav-

ioral changes as a measure of success had not only been seriously neg-
lected, but often derogated as superficial. Indeed, there exists no other
avowedly humanitarian enterprise in which clients' major concerns are
so cavalierly disregarded. Whatever personality changes a psychothera-
pist may choose to promote, they should be considered of dubious value
if thev arc not reflected in To take an analo-
the client's social behavior.
gous example, medical treatments on the basis of physicians' impres-
that,
sions and other ambiguous indicants, supposedly effected profound phys-
iological change's but, in actuality, produced no evident changes in clients'
suffering and physical dysfunctions, would be summarily dismissed as
both ineffectual and misleading. Clearly, objective measures of changes
in behavior constitute the most stringent and the most important criteria
of the power of a given treatment method. Since the areas of functioning
that require modification may differ extensively from person to person,
global, all-purpose measures of change must be replaced by behavioral
criteria that are specific and individually tailored to the treatment objec-
tives selected by the client (Pascal & Zax, 1956). Findings of comparative
studies utilizing indices of improvement based on behavioral change
(Fairweather, 1964; Lazarus, 1961; Paul, 1966) yield success rates that
are substantially below the legendary two-thirds improved figure cus-
tomarily quoted for interview therapies.
Moreover, improvement figures usually present a misleading picture
of the effectiveness of interviewmethods because dropouts have been in-
variably excluded from statistical analyses. When a particular procedure
yields a relatively high attrition rate, discarding terminators in assessing
psychotherapy becomes especially critical. Let us assume, for instance,
that of 100 persons who
entered treatment, 80 withdrew after several
initial interviews, while all of the remaining 20 cases exhibited significant

improvement. If terminators are ignored the treatment proves to be 100

Efficacy of Conventional Methods of Behavioral Change 55

percent effective when, in fact, only 20 percent of the cases have been
benefited. It will be recalled that a sizable percentage of clients who enter
into interview treatments terminate after a few visits.

IMPROVEMENT RATES FOR NONTREATED CASES

In order to demonstrate that psychotherapy is a condition that con-
tributes to observed outcomes, it is necessary to compare changes exhib-
itedby clients who have undergone treatment with those of a comparable
group of nontreated cases. Such a comparison group is essential in order
to provide an estimate of the influence of concomitant extratherapeutic
experiences that may contribute importantly to demonstrable changes in
clients' behavior. Assuming that the two groups are reasonably well
matched on relevant variables, any differential change between treated
and nontreated cases can thus be regarded as therapeutically induced.
There are relatively few studies of psychotherapeutic outcomes that meet
the minimum requirements of an adequate control group and clear speci-
fication and objective measurement of outcomes.
Bergin (1966) has reviewed findings of seven studies (that met the
minimal requirements of a two-group design and some measures of
change ) in which outcomes from a treated group and a comparable non-
treated group of clients were compared. All seven studies, involving di-
verse forms of therapy and diverse criteria, show that persons who have
undergone psychotherapy do not differ significantly in average amount
of change from nontreated controls, but treatment generally produces
more variable effects. Whereas controls do not change or improve to some
extent, those who have received treatment either remain unchanged, ben-
efit somewhat, attain considerable improvement, or become worse. Lest

these variance differences temporarily revive interest in weak behavioral

change methods, it should be noted that treatment-induced effects are
lessfavorable and, hence, less variable when more stringent and socially
meaningful measures are employed. This is well illustrated by results of
an investigation conducted by Rogers ( 1967) and his collaborators on the
efficacy of client-centered therapy.
Schizophrenics were administered a battery of tests including the
Rorschach, MMPI, Thematic Apperception Test, Wechsler Intelligence
Scale, Anxiety Reaction Scales, Stroop Tests, F Authoritarian Scale,
Q-Sort, and Wittenborn Psychiatric Rating Scales. One group of schizo-
phrenics participated in intensive client-centered treatment with highly
qualified therapists, whereas matched controls received no therapy. After
completion of the treatment phase the test battery was readministered
and two clinical psychologists made global judgments, principally from
the Rorschach and the MMPI, of the degree of change in patients' levels
of psychological functioning. Treated and nontreated groups did not dif-
56 CAUSAL PROCESSES

fer in mean improvement, although some of the patients who received

treatment, unlike the controls, showed somewhat larger gains while others
displayed a change for the worse. In an effort to account for this variabil-
ity, therapists' behavior was rated from tape-recorded samples of their
interviews for positive regard, empathy, and genuineness. Except for
scores on one scale of the MMPI test, patients receiving high levels of
the supposedly therapeutic conditions did not differ significantly from
patients whose therapists displayed low positive responsiveness or from
nontreated controls in self-concepts, intellectual functioning, ratings of
their behavior on the hospital ward, and global assessments based on
various personality tests. It would seem from the overall pattern of re-

sults that a hospitalized patient has little to gain from undergoing client-
centered treatment and may, in fact, suffer some slight losses if his thera-
pist happens to be lacking in amiability.
Faced with growing evidence that interview therapies have limited
efficacy, some researchers concluded that outcome studies should be held
in abeyance while intensified efforts are made to elucidate the process
underlying these procedures. Outcome studies were therefore promptly
downgraded, investigators became absorbed in minute analyses of verbal
interchanges between therapists and their clients and, in the absence of
any promising alternatives, the traditional practice's not only survived es-
sentiallv unaltered but were professionally sanctified. The possibility that
a conversational approach to the modification of deviant behavior is in-
herently too weak to justify exhaustive process studies was rarely enter-
tained. Under conditions where a given treatment procedure exercises
weak behavioral control many other extraneous variables (e.g., personality
characteristics of therapists, social attributes of clients, minor technical
variations in procedures) singly or in combination will emerge as deter-

minants of change. Rather than pursue these limiting factors, it would

be far more profitable to devise new methods that are sufficiently power-
ful to override their influences. If similar errors in research strategy are
to be avoided development of new treatment approaches it is es-
in the
sential to establish the relative superiority of a particular approach
before undertaking intricate process studies that might elucidate under-
lying mechanisms or suggest further procedural refinements. It is also nec-
essary to select stringent and unambiguous criteria of change so as to
establish precisely what a given treatment method can or cannot accom-
plish.

Multiprocesses Governing Belmvioral Changes. Evaluation of psy-

chological procedures is often unnecessarily obscured by the use of con-

cepts such as "cure," "spontaneous remission," and "relapse," which may

be appropriate in describing the course of physical disease processes but
Efficacy of Conventional Methods of Behavioral Change 57

are misleading when applied to behavioral changes that are governed by

social variables. In the latter case, the pertinent issues of concern are
whether a given set of conditions can successfully induce a change in
behavior, whether the established changes generalize to extratherapeutic
situations, and whether the changes are maintained over time. Since these
phenomena are fundamentally different from disease processes they re-
quire a separate and more fitting conceptual scheme. Thus if a primary
malignant tumor has been surgically removed, it is reasonable to speak
of cures and of possible relapses, since cancerous cells may not have been
completely extirpated. By contrast, deviant behavior cannot be eradicated
by the removal of a global internal determinant; rather, the occurrence
of deviant behavior is extensively controlled by its likely consequences,

and may therefore vary considerably in different environmental settings,

toward different persons, and at different times. This would be analogous
to having malignancies appear in a given person under one set of social
circumstances and disappear under others.
Unlike physical therapies, in the appraisal of psychological methods
it is important to distinguish among the induction, generalization and

maintenance of behavior, because these processes are governed by some-

what different variables. The fact that established changes may no longer
be evident some time after treatment has been discontinued does not
necessarily mean that the method is inadequate. On the contrary, it may
be exceedingly powerful for inducing changes, but the gains may prove
short-lived because the proper maintaining conditions have not been
arranged. Similarly, in some cases enduring behavioral changes are
achieved, but they do not transfer to extratherapeutic situations, thus
requiring supplementary procedures to ensure optimal transfer effects.
Outcome studies should therefore be designed to provide unconfounded
data regarding the magnitude, generality, and durability of outcomes as-
sociated with given treatment approaches.

PSYCHOTHERAPY AND FRIENDSHIP EXPERIENCES

It would appear from the absence of differential improvement rates
for treated and nontreated groups that favorable behavioral changes,
when they do occur, must be produced by factors that are unrelated to
the special methods that are rigorously applied by psychotherapists. It
is therefore not surprising to find that intensive specialized training and

experience in traditional psychotherapeutic procedures may not only fail

to increase the incidence of favorable outcomes but may in some instances

interfere with the establishment of social-learning conditions likely to fos-
ter beneficial changes. Poser ( 1966), in a bold research project, compared
modifications in the psychological functioning of psychotic patients who
received either five months of group psychotherapy by psychiatrists and
58 CAUSAL PROCESSES

psychiatric social workers, group discussions with undergraduate students,

or no special treatment. The undergraduates, who responded to an adver-
tisement for summer employment, were selected without any additional
requisites, theyhad no training or experience in psychotherapy, and thev
were given no suggestion as to how they should conduct their sessions.
Patients seen by the undergraduates displayed greater gains than both
the controls or cases treated by professional psychotherapists; the latter
two groups did not differ much from each other. Rioch and her associates
(Rioch, Elkes, Flint, Usdansky, Newman, & Silber, 1963) likewise found
that selected married women who received part-time practical training
over a two-year period in the application of psychotherapeutic methods
performed as well as their professional counterparts. However, in view of
Posers findings, it would be essential to study the comparative efficacy
of a group of untrained therapists in order to determine whether the pro-
tracted instruction was irrelevant to the outcomes achieved by the trained
housewives.
The question nevertheless remains why some
persons undergo changes
1

and others do not, whether or not thev are involved in formal therapy.
Comparative investigations of the attributes of clients who terminate
treatment prematurely with those of clients who remain and improve are
particularly relevant in this respect. Relative to persons who continue in
treatment, terminators typically come from lower socioeconomic levels,
are nonconforming toward authority figures, are impulsive, relatively non-
anxious, report a history of antisocial behavior, present deficits in verbal
and emotional responsiveness, exhibit a relative inability to establish and
to maintain soeial relationships, and acknowledge little contingency be-
tween their own behavior and the actions of others toward them. By con-
trast, remainers generally come from higher socioeconomic levels, are bet-

ter educated, are willing to explore their personal problems, are responsive
to soeial reinforcement, are suggestible, introspective, relatively anxious,
and self-condemning (Auld & Myers. 1954; Frank et al.
self-dissatisfied,
1957; Hiler, 1954;Imber et al.. 1955; Katz, Lorr. & Rubinstein. 1958; Lorr,
Katz. & Rubinstein, 1958; McNair, Lorr, & Callahan, 1963; Rubinstein &
Lorr, 1956). Except for socioeconomic and educational indices which—
generally correlate significantly with continuation in treatment but tend
to be unrelated to outcome —most of the latter personality variables are
likewise predictive of rated subsequent improvement in psychotherapy.
Thus the type of people who continue to participate and improve in psy-
chotherapy have attributes similar to those of persons who, in laboratory
studies of conformity, attitude change, and conditionability, show more
responsiveness to almost any form of social influence procedure (Berg &
Bass, 1961; Biderman & Zimmer, 1961; Janis & Hovland, 1959).
The above findines indicate that the social characteristics of clients,
Efficacy of Conventional Methods of Behavioral Change 59

rather than the chosen psychotherapeutic method, are the main determi-
nants of the successes of traditional psychotherapy. This may explain why,
in spite of wide conceptual divergences, all "schools" of psychotherapy
achieve very similar rates of improvement (Appel et al., 1951; Miles,
Barrabee, & Finesinger, 1951 ) and, although differences may
occasionally
slightly favor the treated groups ( Frank, Gliedman, Imber, Stone, & Nash,
1959; Learv & Harvey, 1956), the magnitude of behavioral change exhib-
ited by nontreated cases is not substantially less than change in clients
who have undergone some traditional form of psychotherapy (Bergin,
1966 ) The types of clients who derive some benefit from participation in
.

conventional forms of psychotherapy are likely to exhibit varying degrees

of favorable improvement with little or no formal treatment
( Frank et al.,

1959; Saslow & These demonstrable changes

Peters, 1956; Taylor, 1955).
are probably a function of social-learning experiences resulting from
casual or more structured interpersonal interactions with physicians, at-
torneys, clergymen, teachers, close and respected friends, and other socie-
tal agents who possess some degree of social power, prestige, and good

judgment. All these different sources of social influence apparently rely

primarily upon common —though not the most reliable or potent—thera-
peutic elements for the modification of social behavior.
The overall outcome data accompanying conversational treatment ap-
proaches indicate the necessity for distinguishing between psychotherapy
on the one hand, and friendship experiences on the other. In a thoughtful
book entitled Psychotherapy: The Purchase of Friendship, Schofield
(1964) contends that psychotherapists are essentially offering their clients
a supportive substitute friendship which does not require technical pro-
fessional training. He wide range of persons within
further argues that a
a society, by virtue of their superordinated social roles, their wisdom and
devotion to service, are equally capable of providing friendships and
satisfying discussions of personal concerns. Therefore, individuals who
are in need of an understanding and trustworthy friend with whom
they can periodically share their problems, and those who are search-
ing for a faith or a commitment that would add more purpose to their
lives, might do better to seek the counsel and emotional support of

respected colleagues and enlightened societal agents rather than to flock

to psychotherapists whose training does not ensure special expertise in
the value domain.
It should be recognized that, although thoughtful discussions in the
context of a supportive friendship can be highly meaningful and satisfy-
ing, they generally have little impact on persons' specific behavioral dif-
ficulties. Few chronic stutterers, for example, have been cured through
amity, introspective conversation, and wise counsel. In modifying per-
sistent deviant behavior and in overcoming behavioral deficits, friendship
60 CAUSAL PROCESSES

alone is not enough. Special learning conditions must also be arranged

and implemented over a long period if desired psychological
skillfully
changes are be consistently achieved and adequately maintained. The
to
latter activities, for which the label "psvchotherapy" is appropriate, re-
quire unique skills and specialized procedures for effecting predictable
behavioral changes.
Recent years have witnessed a marked proliferation of psvchological
ventures designed to cure all tvpes of social maladies. These endeavors

include, among other things," meditation, massage, sensitivitv training,

and marathon social encounters in which participants from all walks of
life are provided with opportunities to analyze each other's interpersonal

reactions. As long as such programs are not misrepresented and people

find them personally rewarding they require no further validation. If, on
the other hand, they are marketed as forms of psychotherapy, then advo-
cates of such procedures must be concerned about the consequences of
their practices and they must assume responsibility for empirical verifica-
tion of their claims. Moreover, ethical considerations require that clients
specify the ways in which they wish to be changed, that the intended
outcomes of the therapeutic process be made known, and that clients be
informed of the likelihood that the treatment interventions will enable
them to deal more effectively with the life problems for which they seek
help.
While psychotherapists are promoting their favored insights in inter-
view approaches they may often simultaneously (if inadvertently) reward
their clients with approval for exhibiting desired response patterns and
show disapproval of maladaptive forms; they may reduce anxieties
through their permissive and supportive reactions toward clients' disturb-
ing self-revelations; and they inevitably model various attitudes, values,
and interpersonal modes of behavior which clients are inclined to emu-
late. Manv of the therapeutic changes that occur in conventional psycho-

therapy may therefore derive primarily from the unwitting application of

social-learning principles. The point is that these beneficial outcomes are
more readilv attainable when principles are applied in a more considered
and systematic manner.
Even if the traditional forms of psychotherapy had proved highly
effective, they would still have limited social value. A method that re-
quires extended and highly expensive training, that can be performed
only by professional personnel, that must be continuously applied on a
one-to-one basis over a prolonged period of time, and is most beneficial
to self-selected highly suggestible persons cannot possibly have much
impact on the countless social problems that demand psychological at-
tention. Major progress will be made in resolving these problems by con-
Efficacy of Conventional Methods of Behavioral Change 61

centrating on the development of highly efficacious principles of behav-

ioral change and by utilizing the large pool of nonprofessional persons
who can be trained to implement programs under competent guidance
and direction. This approach would provide more people with more help
than they receive under current professional practices.

APPROACHES BASED ON SOCIAL-LEARNING PRINCIPLES

In subsequent chapters of this book various social-learning approaches
to the modification of diverse psychological phenomena will be consid-
ered in detail. The principles underlying each method will be reviewed
along with experimental tests of their efficacy. In addition, the types of
behavioral changes for which each procedure is best suited will be dis-
cussed.
Although major emphasis will be given to psychological variables that
have been shown to exercise strong control over behavior, some attention
will be devoted to pharmacological procedures, particularly when they
are employed as adjuncts to social-learning procedures. The psychological
emphasis, however, is not meant to minimize the genetic, biochemical,
and neurophysiological determinants of behavior. A social-learning model
does not, of course, assume that behavior is determined exclusively by
psychological variables. Genetic endowment and constitutional factors
may set certain limits on both the types of behavioral repertoires that can
be developed in a given person, and the rate of response acquisition. In
certain cases, neurophysiological conditions may contribute to the ob-
served behavioral malfunctioning. Moreover, biological and psychologi-
cal factors typically interact in subtle and complex ways in producing
certain patterns of social behavior.
It should also be noted in passing that physiological variables, to the
extent that they serve as contributory factors, are most likely to be asso-
ciated with nonspecific effects as reflected in the general tempo of respon-
siveness and the rate and level of response acquisition. Such variables do
not, however, determine specific behavioral patterns, which are due to
particular social-learning experiences. Genetic endowment cannot account
for the difference between one schizophrenic who firmly believes that he
is Jesus Christ, and another one who entertains no grandiose delusions.
The idiosyncratic behavioral content is obviously learned rather than
physiologically produced. Nor do capacity variables account for gross
deficits in motor, conceptual, or affective responses that are clearly within
a person's capabilities. Unfortunately, deviant behavior is often prema-
turely attributed to physiological determinants, an attribution which re-
sults not only in therapeutic pessimism, but also effectively retards fur-
ther psychological investigation of behavioral phenomena.
62 CAUSAL PROCESSES

Summary
This chapter has presented a social-learning interpretation of the
mechanisms regulating behavior and contrasts this approach with the-
ories that tend to assign causal properties to hypothetical internal forces.
The differences in conceptual models are especially striking in explana-
tions of deviant behavior that have traditionally been depicted as symp-
tomatic by-products of a quasi-mental disease. From a social-learning
may be detrimental to the individual or that
perspective, behaviors that
depart widely from accepted social and ethical norms are considered not
as manifestations of an underlying pathology but as ways, which the per-
son has learned, of coping with environmental and self-imposed demands.
Psychopathology is not solely a property inherent in behavior but re-
flects the evaluative responses of societal agents to actions that violate
prescribed codes of conduct. The social labeling of a given response pat-
tern as a pathological expression is. in fact, influenced by numerous sub-
jective criteria including the aversiveness of the behavior, the social at-
tributes of the deviator, the normative standards of persons making the
judgments, the social context which the behavior is performed, and a
in
host of other factors. Consequently, the same response pattern may be
diagnosed as "sick" or may be normatively sanctioned and considered
emulative by different groups, at different times, or in different environ-
mental settings. Considering the arbitrary and relativistic nature of the
social judgment and definition of deviance, the main value of the normal
versus abnormal dichotomy lies in guiding the social and legal actions of
societal agents concerned with the maintenance of an efficiently function-
ing society. This dichotomy, however, has little theoretical significance,
because no evidence exists that the behaviors so dichotomized are either
qualitatively different or are under the control of fundamentally different
variables.
Personality theories generally assume that energized traits and con-
cealed motivational states impel behavior in a variety of directions. These
hypothetical internal conditions tend to be regarded as relatively autono-
mous of external stimulation and their relationship to behavior remains
somewhat loose. In social-learning theory both deviant and prosocial be-
haviors are acquired and maintained on the basis of three distinct regula-
tory systems.
Some response patterns are primarily under external stimulus control.
Autonomic responsiveness, such as changes in cardiovascular and gastro-
intestinal reactions, and emotional behavior, can be effectively brought
under the control of environmental events through their contiguous asso-
ciation with either direct or vicarious affective experiences. Instrumental
References 63

behavior is likewise precisely regulated by environmental stimuli that, by

virtue of their association with different contingencies of reinforcement,
signify the consequences that are likely to accompany certain courses of
action. Some forms of deviant behavior primarily reflect defective or in-
appropriate stimulus control.
A second behavioral control system involves response feedback proc-
esses,mainly in the form of reinforcing consequences. Both prosocial and
grossly deviant behaviors can be successively eliminated and reinstated by
varying their immediate consequences. These influential aftereffects may
include sensory experiences that are intrinsically produced by the activity
itself, externally arranged tangible or symbolic outcomes, or self-evalua-
tive reactions. The susceptibility of behavior to reinforcement control is
further shown by the fact that even subtle variations in the frequency and
patterning of outcomes result in distinct performance characteristics.
The third, and in many respects the most influential, regulatory mech-
anism operates through central mediational processes. At this higher level
stimulus inputs are coded and organized; tentative hypotheses about the
principles governing the occurrence of rewards and punishments are de-
veloped and tested on the basis of differential consequences accompany-
ing the corresponding actions; and, once established, implicit rules and
strategies serve to guide appropriate performances in specified situations.
Symbolically generated affective arousal and covert self-reinforcing oper-
ations ma) r
also figure prominently in the regulation of overt responsive-
ness.
In this conceptual scheme man is neither an internally impelled system
nor a passive reactor to external stimulation. Rather, psychological func-
tioning involves a reciprocal interaction between behavior and its con-
trolling environment. The type of behavior that a person exhibits partly
determines his environmental contingencies which, in turn, influence his
behavior. In succeeding chapters of this book the social-learning princi-
ples necessary to account adequately for the development of prosocial
and deviant behavior will be further elaborated. We shall also demon-
strate how these principles may be successfully applied to ameliorate
developmental and clinical problems, and to effect broader social and
cultural change.

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CHAPTER 2 Value Issues
and Objectives

In developing and implementing programs for modifying behav-

ior, the specification of goals is of central importance. If the objectives are
poorly defined, an agent of behavioral change has no rational basis for
selecting the appropriate treatment procedures or for evaluating the ef-
fectiveness of his efforts. Illustrations of how the choice of outcomes de-
termines the selection of procedures are provided in diverse social prac-
tices. A physician, for example, does not prescribe medication or surgical
intervention for his patient without first deciding what physical changes

he wants to induce; a researcher does not choose independent variables

for study in advance of specifying the phenomena he wishes to modify;
a travel agent does not select a route for a client before ascertaining his
destination; and a teacher does not make assignments to his students in
the absence of some type of educational objective. Similarly, the first ma-

jor task in any successful program of behavior modification is to delineate

the changes it aims to achieve.
Often the principal aims of social change enterprises are never clearly
articulated, with the result that programs remain directionless or offer
learning experiences that are selected fortuitously by personal preferences
of the change agents rather than specifically for the needs of the recip-
ients. Even more often, however, broad objectives are specified only in
terms of ill-defined hypothetical states (rather than behavioral out-
comes), which furnish little direction for the selection of appropriate
methods and learning experiences. Indeed, conceptualizing psychological
abstractions as internal properties of clients rather than as hypothetical
constructs of therapists has resulted in considerable confusion about the
types of changes effected by different approaches to the modification of
behavior.
Value Issues and Objectives 71

It is widely assumed that behavioral and psyche-dynamic approaches

are concerned with fundamentally different subject matters. The latter
methods supposedly treat complexes, repressed impulses, ego strengths
and mental apparatuses, the underlying causes of behavior, whereas be-
havioral approaches are believed to modify only superficial behavior.
This apparent difference in subject matter, however, exists primarily in
the therapists' conceptualizations, not in actual practice.
Ego strength, to take an example, is a hypothetical construct and not
an entity within the client. One can neither observe nor modify hypothet-
ical constructs. The person's behavior —broadly defined to include cog-
nitive, emotional, and motor expressions — the only
is class of events that
can be altered through psychological procedures, and therefore it is the
only meaningful subject matter of psychotherapy. Similarly, stimulus vari-
ables are the only events that the therapist can modify to effect behav-
ioral change. Psychotherapy, like any other social influence enterprise, is

thus a process in which the therapist arranges stimulus conditions that

produce desired behavioral changes in the client. If, for instance, a psy-
chotherapist creates conditions that increase the frequency of the behav-
iors from which ego strength is inferred, the client will be said to have
acquired increased ego strength as a function of treatment. On the other
hand, if the frequency of ego-strength behaviors has been reduced in the
course of psychotherapy, the client has suffered a loss in ego strength.
Clearly, ego strength is simply a hypothetical abstraction whose pre-
sumed behavioral referents are the only reality the psychotherapist can
modify.
In the final analysis, social-learning approaches and all other existing
forms of treatment modify the same subject matter, namely, behavioral
phenomena. Most discussions of change-inducing processes, however,
focus on treating the inferences made from behavioral events as though
these abstractions existed independently and caused their behavioral re-
ferents. Philosophers of science have cautioned against the attribution of
causal potency to described properties of behavior. Their warnings have
had little impact on personality theorizing.

Neither traits nor types, as concepts, have any real existence. They are
merely words, and words do not exist in the eye of the observer nor in
the people observed. A man can not be said to have either a type or a
trait, but he can be said to fit either a type or a trait. At present the fit

will be inexact, for dimensions of personality have not yet been quantified
well enough to permit of accurate measurement. In the case of height,
the measurement can be precise, and little confusion results from saying
that a man has a certain height. Observation and concept are so closely
related that the phrase is not ordinarily understood to mean more than
72 VALUE ISSUES AND OBJECTIVES

it says, namely, that the extent of a given datum of observation in one

direction fits a certain section of an ideal dimension of distance. But if an
attempt is made to fit some mode of human conduct to the trait of
courage, the looseness of correspondence between behavior and con-
cepts leads to mischievous reification. The concept parts company with
behavior, picks up undefined notions in its flight from reality, and finally
acquires an independent real existence in its own right, so that when
it is said that a man has courage, he will be thought of as the fortunate
owner of something considerably more significant than a certain pattern
of behavior [Pratt, 1939, p. 115].

Similarly, a person who is plagued with "weak ego strength" will be

viewed from something vastly more significant than the be-
as suffering
havioral referents from which the construct is inferred.
1

For purposes of further illustration, let us designate behaviors in

which persons violate social and legal codes of behavior and frequently
engage in assaultive activities as the external expressions of an inferred
zoognick. Based on prevailing clinical practices, the zoognick would come
to represent an intrapsychically functioning agent. An honorific causative
power would be conferred upon tin's hypothetical zoognick, whereas the
observed behavior from which its existence is inferred would be depreci-
ated as superficial behavioral manifestations. Before long, psychological
tests would be constructed to measure zoognick strength on the basis of

which diagnosticians would tautologicallv attribute clients' behavior to

the action of the underlying zoognick. Proceeding on the assumption that
"patient variables arc not conceived to be behaviors, but constructs con-
1

cerning internal constellations" ( Wallerstein, 1963), psychotherapeutic

goals would be stated in terms of removing the pernicious zoognick. On
the other hand, direct modification of the deviant behavior would be con-
sidered not only superficial but potentially dangerous, since elimination
of the symptomatic expressions might force the zoognick to emerge in
equally pernicious substitute forms. A sufficiently charismatic exponent of
zoognick theory could undoubtedly develop a sizable following with the
same extraordinary conviction in the vital importance and causative po-
tency of zoognicks as that shown by adherents of libidinal forces. Oedipal
complexes, collective unconsciouses, and self-dynamisms. Finally, human-
ists would embrace zoognick theory as more befitting the complexities of
human beings than those simplistic mechanistic doctrines that stubbornly
insist that the zoognick is the deviant behavior rechristened.
Most treatment approaches devote remarkably little attention to the
selection of objectives; when
they are specified (Mahrer, 1967), the in-
tended outcomes generally include a variety of abstract virtues described
in socially desirable terms, such as reorganization of the self, restoration
Behavioral Specification of Objectives 73

of functional effectiveness,development of individuation and self-actuali-

zation, establishment of homeostatic equilibrium, where there is id there
shall ego be and where superego was there shall conscious ego be,
achievement of identitv, acceptance of self-consciousness, enhancement of
ego strength, or the attainment of self-awareness, emotional maturity, and
postive mental health. Y\ nile some of these objectives allude to vaguely
defined behavioral characteristics, most refer to nebulous hypothetical
states. These abstractions convey little information unless thev are further
defined in terms of specifically observable behavior.

Behavioral Specification of Objectives

A meaningfully stated objective has at least two basic characteristics

( Mager. 1961 ) . First, it should identify and describe the behaviors con-
sidered appropriate to the desired outcomes. The term "behavior"
is used

in the broad sense to include a complex of observable and potentially

measurable activities including motor, cognitive, and physiological classes
of responses.
After the intended goals have been specified in performance, and pref-
erably in measurable terms, decisions can be made about the experiences
that are most produce the desired outcomes. For example, the
likely to
statement, "Increase the person's self-confidence and self-esteem," des-
ignates a therapeutic intent; but it furnishes little guidance, since it does
not reveal the kinds of behaviors the person will exhibit after he has
achieved increased self-esteem. Once self-esteem and the behaviors that
will be esteem producing for a particular client have been delineated,
one can arrange conditions that will create the requisite behaviors and
thereby produce the condition of positive self-evaluation. In some in-

stances learning vocational skills may be most relevant to acquiring self-

esteem; in some cases developing interpersonal competencies that will

secure positive responses from others may be most appropriate; in other
cases eliminating alienating social behaviors may be required if self-eval-
uation be altered; and finally, in cases where a person is relatively
is to
competent socially and vocationally, an increase in self-esteem behav-
ior may require the modification of stringent, self-imposed standards of
behavior upon which self-approving and self-deprecatory responses are
contingent. Similarly, unless the goals specify the behavior that persons
will exhibit when successfully self-actualized, internally integrated, self-
accepted, personally reconstructed, homeostatically equilibrated, or emo-
tionally matured, such goals provide little guidance.
In addition to describing the behaviors which reflect the chosen goals,
objectives must often be further delineated by specifying the conditions
under which one may expect the behavior to occur. Let us assume that
74 VALUE ISSUES AND OBJECTIVES

increased assertiveness is the goal for the treatment of an excessively pas-

sive individual. After assertive behavior is defined in sufficient detail that
there ambiguity about the interpersonal skills to be learned, ap-
is little

propriate conditions can be arranged to produce the desired changes.

To demonstrate, however, that the person has achieved the objective, one
would not require him to exhibit assertive behavior in all social situations.
Because interpersonal demands are complex, effective social functioning
requires a well-discriminated repertoire of behavior. Therefore a com-
plete statement of objectives should specify to what degree the modified
behavior is expected to be linked to social conditions.
The emphasis on behavioral specification of goals is not intended to
encourage the selection of inconsequential outcomes. Instead, it places
greater demands on change agents for careful analysis of complicated
objectives that cannot be successfully attained by any method as long as
they remain couched in ill-defined, general terms. Complex behavior is an
aggregate of simpler components which must be individually learned and
appropriately integrated. After complex performances have been ade-
quately analyzed, conditions that will permit learning of the component
behaviors can be designated. Without this type of behavioral analysis,
change agents remain at a loss how to proceed and simply fall back on
favorite routines.
Behaviorally defined objectives not only provide guidance in selecting
appropriate procedures, but they serve an important evaluative function
as well. When arc designated in observable and meas-
desired outcomes 1

urable terms, becomes readily apparent when the methods have suc-
it

ceeded, when they have failed, and when they need further development
to increase their potency. This self-corrective feature is a safeguard
against perpetuation of ineffective approaches, which are difficult to re-
tire if the changes they are supposed to produce remain ambiguous.

SEQUENCING OF INTERMEDIATE OBJECTIVES

Establishing complex social behavior and modifying existing response

patterns can be achieved most consistently through a gradual process in
which the person participates in an orderly learning sequence that guides
him stepwise toward more intricate or demanding performances. Al-
though the specification of ultimate objectives provides some direction
and continuity to a program of change, day-to-day progress is most influ-
enced by defining intermediate objectives and the learning experiences
necessary for their attainment. A comprehensive statement of objectives
should, therefore, contain a sequence of intermediate goals that lead
gradually to more complex modes of behavior.
This principle of gradation is applied extensively in the social-learning
procedures discussed in succeeding chapters. In each case, complex be-
Behavioral Specification of Objectives 75

havior outcomes are analyzed into smaller subtasks and sequenced so as

to ensure optimal progress. For example, fearful responsiveness and de-
fensively avoidant behavior can be successfullv eliminated by either di-
rect exposure to aversive events (Grossberg, 1965; Herzberg, 1945); by
exposure to models boldly exhibiting approach behavior toward fear-pro-
voking situations ( Bandura, Blanchard, & Ritter, 1968; Bandura, Grusec,
& Menlove, 1967); or by symbolic reinstatement of threatening events in
the context of strong competing positive responses (Wolpe, 1958). The
therapist first devises a ranked set of threatening situations to which the
client responds with increasing degrees of anxiety. Initially the client is

presented with the least threatening event under favorable conditions

until his emotional responses have been thoroughly extinguished. As
treatment progresses the fear-arousing properties of the aversive situa-
tions are gradually increased until emotional responsiveness to events
that originally he found most threatening is extinguished. While stimulus
gradation is not a necessary condition for extinguishing fearful behavior,
it permits greater control over the direction and progress of behavior
changes.
Hierarchical organization of learning experiences is even more useful
in programs designed to develop new patterns of behavior, because the
response elements that compose complex performances may themselves
be relatively intricate compounds. Therefore, complicated response pat-
terns cannot be taught without first establishing the necessary compo-
nents. In social practice, intricate modes of behavior are best attained
stepwise by modeling progressivelv more complex responses (Bandura,
1968; Lovaas, 1967) and reinforcing gradual response elaborations.
sequencing of intermediate objectives can help achieve desired
Skillful
goals in several ways. By approaching a complicated learning outcome
through successive subtasks, experiences of failure can be reduced to a
minimum, because no subtask requires constituent skills that participants
do not already possess. The degree of positive reinforcement can there-
fore be maintained at a high level by continuous progress. If, on the other
hand, people are required to attempt complex behavior prematurely, they
experience a great many unnecessary failures. These experiences may
jeopardize the treatment program by decreasing positive motivation, by
inviting obstructive and avoidant responses, and even by augmenting de-
viant behaviors that the treatment was designed to modify. Graded ob-
jectives both permit greater control over learning outcomes and guide
and focus the behavior of participants throughout all stages of treatment.
Change programs that are poorly organized as evidenced by isolated, hap-
hazard, and inadequately sequenced learning experiences will produce
discouraging results, however valid the principles supposedly guiding the
social practices.
76 VALUE ISSUES AND OBJECTIVES

Factors Impeding Specification of Objectives

In view of the importance of defining the necessarv learning condi-
tions in terms of clearly specified goals, it is surprising that objectives are
accorded little consideration in the theorizing and practice of psvchother-
apy. Almost without exception, treatises on psvchotherapv contain de-
changes and
tailed prescriptions of the conditions essential for effecting
admonitions about the hazards of deviating from prescribed methods.
The outcomes that these procedures are designed to produce and the
value judgments implied by these goals are inadequately explicated. Sev-
eral possible reasons may account for this traditional inattention to issues
of goal selection.

ADVOCACY OF XOXCOXTIXGEXT SOCIAL REINFORCEMENT

It is widely believed that noncontdngent "relationship" experiences
are the primary determinants of behavioral change and consequently 1
,

that the specificmethods employed are of secondary importance. In a

'therapeutic" atmosphere in which the therapist exhibits permissive, non-
judgmental and unconditionally positive attitudes, it is contended, a va-
riety of methods, within certain broad limits, will produce essentially
similar changes in behavior.
This view — which is somewhat analogous to relying on '"bedside man-
ner" rather than on specific therapeutic interventions in the alleviation of
physical disorders — can be seriously questioned lw an example in which
objectives are clearly identified. Let us assume that two children have
been referred for treatment, one passive and nonaggressive, the second
exhibiting a hyperaggressive pattern of behavior. Since the goal is to in-

crease assertiveness in the passive child and to decrease the domineering

tendencies of the hyperaggressive child, should the therapist employ the
same methods? Clearly the answer is in the negative. Based on established
principles of behavior change, procedures aimed at reducing inhibitions
(Wolpe, 1958), the provision of assertive models of behavior (Bandura,
1965) and the reinforcement of assertive response patterns (Jack. 1934;
Page, 1936; Walters 6c Brown. 1963) are most appropriate and effective
for promoting increased assertiveness. These methods, however, would
be clearly inappropriate in the treatment of the hyperaggressive child,
since thev would simply strengthen the already persistent deviant behav-
ior. Withdrawal of rewards for aggression Brown & Elliott. 1965 com-
( )

bined with modeling and positive reinforcement of nonaggressive frus-

tration responses ^Chittenden. 1942) is highly effective for decreasing
aggressiveness. Although in both of these hvpothetical cases warmth, in-
terest, understanding, and other relationship factors would apply equally,
Factors Impeding Specification of Objectives 77

it is unrealistic to expect these general factors to increase aggressiveness

in one child and to reduce it in the other. Nevertheless therapists often
adhere to a single set of therapeutic conditions, disregarding the nature
of the client's deviant behavior. Maladaptive behavior may thus be
strengthened rather than weakened in cases for whom the learning con-
ditions are inappropriate.
The view of behavioral modification also implies that no
relationship
significant permanent changes in social behavior can be achieved unless
a social relationship is firmly established. Until recently it has likewise
been confidently believed that a beneficent teacher-student relationship
is a necessary precondition in the educational process. Comparative stud-
7

ies,however, reveal that self-instructional programs can equal or even

surpass the efficacy of instructors in promoting learning. The assumption
that relationship factors are requisite for the acquisition and modification
of social behavior is refuted by countless studies of social learning. One
can, for example, acquire complex patterns of social behavior by observ-
ing either symbolic or real life models with whom no prior relationship
has been developed Bandura, 1965). Moreover, many responses that are
(

utilized interpersonally were originally acquired under noninterpersonal

conditions. This transfer process is demonstrated experimentally by Wal-
ters & Brown (1963), who found that children who were intermittently
reinforced for hitting an automated Bobo doll subsequently displayed an
increase in physically aggressive behavior toward other children in thwart-
ing situations.
Relationship experiences are often designated nonspecific influences
and contrasted with various learning procedures which are referred to as
specific influences. It is difficult to conceive of nonspecific influences in
social interchanges. Each expression by one person elicits some type of
response from the other participant, which inevitably creates a specific
reinforcement contingency that has a specific effect on the immediately
preceding behavior. Numerous studies of change processes stimulated by
social reinforcement theory disclose that interpersonal responses have
and predictable effects on behavior. It is possible, of course, for
specific
a change agent to display uniformly positive or negative responses with-
out regard to the behavior of another person. In such instances, however,
it might be more accurate to characterize the social interaction as in-
volving indiscriminate, rather than noncontingent, reinforcement. It has
been shown bv Hart, Reynolds, Baer, Brawley, & Harris (1968) and oth-
ers that abundant social responsiveness provided on such a "noncondi-
tional" basis can neither create nor maintain beneficial personality char-
acteristics. Guideless interest is clearly not enough.
Lest readers conclude that social-learning approaches neglect rela-
tionship variables it should be emphasized here that, quite the contrary,
 —
78 VALUE ISSUES AND OBJECTIVES

social reinforcement processes assume a role of major importance in the

modification and maintenance of personality patterns. Indeed, it is re-
search conducted within the social-learning framework that has shown
most conclusively that relationship experiences can exert powerful con-
trol over behavior. The central issues are, therefore, whether a social re-
lationship is regarded as a facilitative or a necessary condition for learn-
ing, and whether it is utilized ritualistically or considerately to benefit
the recipients. Chapter 4 includes a large body of empirical evidence
demonstrating that grossly deviant behavior in both children and adults
—including infantile behavior, self-destructive tendencies, hypochondri-
acal and delusional behavior, extreme withdrawal, chronic anorexia, psy-
chogenic seizures, psychotic tendencies and other deleterious behaviors
can be eliminated, reinstated, and substantially increased depending
upon the amount of interest, attention, and solicitous concern such be-
haviors elicit from others. A positive relationship thus has the potentiality
both to help and to harm. The well-intentioned, benign attitudes fre-
quently advocated by many theories of personality may actually foster
social reinforcement contingencies that have injurious consequences; this
consideration suggests that child-rearing, educational, and therapeutic
practices must be evaluated by their effects upon recipients rather than
by the humanitarian intent of change agents. Many well-meaning people
who subscribe to these mental hygiene practices, which have been widely
promulgated over the years, may at times inadvertently support or even
increase the very problems their earnest efforts are designed to ameliorate
(Harris, Wolf, & Baer, 1964; Gelfand, Gelfand, & Dobson, 1967; Lovaas,
Freitag, Gold, & Kassorla, 1965).
A principal assumption of most conventional approaches to treatment
is that clients will reenaet in their relationship with the psychotherapist
the maladaptive interpersonal patterns that characterize their everyday
Once evoked in various strengths
interactions with significant persons.
and guises, the inappropriate nature of these transferred reactions can
be demonstrated and presumably modified within the therapeutic setting.
Alexander (1956), among others, questioned these assumptions regarding
transference phenomena. He argued that the marked dissimilarity of the
therapy situation and the social characteristics of the therapist may not
constitute a suitable stimulus for eliciting strong generalized responses.
Hence, many of the clients' behavioral problems could not be effectively
modified solely in relation to the therapist. Moreover, those who lead
emotionally impoverished lives often become more interested in securing
positive reinforcement from their therapists than in solving their interper-
sonal problems. Personality changes are further obstructed if therapists,
due to limited satisfaction in their own nonprofessional relationships, use
Factors Impeding Specification of Objectives 79

their clients as a substitute source of gratification. For these and other

reasons, Alexander recommended greater utilization and extratherapeutic
relationships for effecting changes in social behavior.
It is evident from outcome studies reviewed in Chapter 1 that, what-
ever clients may reenact with their psychotherapists, relatively few bene-
ficial effects of these reenactments trickle down to daily interpersonal
living. Most likely the artificial relationship provides substitute gratifica-
tions for those lacking in the clients' natural relationships instead of serv-
ing as a major vehicle for personality change. Persons would be helped
more fundamentally if their behavior patterns were modified to enable
them to derive greater satisfactions from their everyday relationships,
therebv making the purchased relationship unnecessary.
Many psychotherapists who do not subscribe to the transference the-
ory nevertheless assume that a benign, noncontingent attitude toward
clients will produce beneficial personality changes. Strict adherence to
the position that therapists should be unconditionally accepting is vir-
tually impossible, as shown in numerous content analyses (Bandura,
Lipsher, & Miller, 1960; Dittes, 1957; Goldman, 1961; Winder, Ahmad,
Bandura, & Rau, 1962). Therapists, including those who advocate un-
conditional positive regard (Murray, 1956; Truax, 1966), display consist-
ent patterns of approving and disapproving responses to their clients'
behavior. Even if unconditional social approval and acceptance were
possible, it would be no more meaningful as a precondition for change
than noncontingent reinforcement in modifying any form of behavior. If

this principle were, in fact, applied in child-rearing, parents would re-

spond approvinglv and affectionately when their children appeared with
stolen goods, behaved unmanageably in school, physically injured their
siblings and peers, refused to follow any household routines, and behaved
maliciously. "Unconditional love" would make children directionless, ir-
responsible, and completely unpredictable. Similarly, if researchers prac-
ticed indiscriminate positive reinforcement in experiments in the process
of social learning, they would undoubtedly obtain meager results. Per-
haps this circumstance isrelevant to the psychotherapy outcome data
discussed in the introductory chapter.
Another corollarv of the relationship view is that psychotherapists
should select the methods of treatment that they feel most comfortable
in employing. If such reasoning guided the practice of medicine sup- —
pose a patient with a brain tumor consults a surgeon who feels most com-
fortable in performing appendectomies and therefore extracts the patient's
appendix — a sizeable portion of the patient population would have long
since departed, while an even larger number would find themselves in
short supply of convenient anatomical structures. Successful modification
80 VALUE ISSUES AND OBJECTIVES

of behavior requires certain learning conditions. Therefore, in planning a

change program, the primary focus should be on desired objectives and
their requisite conditions rather than on the comforts of the change
agents. This does not minimize the individual differences in psychothera-
pists' capabilities for creating different types of learning conditions.
Rather it highlights the necessity of selecting change agents on the basis
of the desired learning outcomes.
The common deemphasis of methods and objectives also derives from
the fact that most psychotherapists are trained essentially in a single
treatment approach, which they apply with minor variations to a wide
range of deviant behavior patterns. Rogerians offer their clients a partic-
ular all-purpose brand of psychotherapy, psychoanalysts provide a some-
what different standard brand; similarly, Adlerians, Jungians, Sullivanians,
and Rankians present still different forms of
Gestaltists, existentialists,
omnibus psychotherapy. Since the client must conform to the method of-
fered rather than having procedures selected for him in terms of specified
objectives, the treatment he will receive is fortuitously determined by the
school affiliation of his psychotherapist.
School affiliations not only determine the range of procedures that a
employ in his practice; they also define the client's central
therapist will
problems, which the techniques of the school are designed to resolve.
Psychoanalysts will uncover and resolve Oedipal conflicts; Adlerians will
discover inadequacy problems and alter the resultant compensatory power
striving; Rogerians will unearth and reduce self-ideal discrepancies; Rank-
ians will resolve separation anxieties; existentialists will actively promote
awareness of self-consciousness. Thus in traditional approaches therapeu-
tic procedures and objectives tend to be preselected with little reference

to the diverse forms of deviance exhibited by different persons. Consid-

ering the accidental way in which behavioral deviations are matched with
learning conditions, it is not at all surprising that clients often terminate
therapy after only a few interviews, and that one cannot determine the
probability of improvement for those who remain. A social-learning ap-
proach does not rely upon a single set of conditions for effecting person-
ality changes, but rather it provides, within a unified framework, diverse
methods for modifying multiform psychological phenomena.
Psychotherapists who are less strongly committed to a particular the-
oretical orientation generally attempt to vary techniques adopted from
different systems to particular problems. However, because the literature
does not provide explicit criteria for the choice of different methods, the
range of procedures therapists do possess is utilized more according to
their intuition. These attempts are therefore less definite, less comprehen-
sive, and usually less effective than a program in which particular inter-
ventions are used because of their demonstrated effects on social behavior.
Factors Impeding Specification of Objectives 81

SELECTION OF OBJECTIVES AND ETHICAL ISSUES

OF BEHAVIORAL CONTROL
Behavioral objectives are frequently unspecified in order to avoid ac-
knowledging the value judgments and social influences involved in the
modification of behavior. Psychotherapists who subscribe to conversational
methods customarily portray their form of treatment as a noncontingent
social influence process in which the therapist serves as an unconditionally
loving, permissive, understanding, empathizing catalyst in the client's ef-
forts toward self-discovery and self-actualization. In contrast, behaviorally
oriented psychotherapists are typically depicted as antihumanistic, Machi-
avellian manipulators of human behavior (Jourard, 1961; Patterson, 1963;
Rogers, 1956; Shoben, 1963). In truth, to the extent that the psychothera-
pist —regardless of his theoretical allegiances —has been successful in
modifying his clients' behavior, he has either deliberately or unwittingly
manipulated the factors that control it. It is interesting to note in this con-
nection that conditions that are undesignedly imposed upon others are
generally regarded with favor, whereas identical conditions created after
thoughtful consideration of their effects on others are often considered
culpable. There exists no other enterprise which values incognizance so
highly, often at the expense of the client's welfare. One suspects that this
therapist-centered value system would change rapidly if therapeutic con-
tracts required financial remuneration to be made at least partially con-
tingent upon the amount of demonstrable change achieved by clients in
the interpersonal problems for which they seek help.
In view of the substantial research evidence that psychotherapists
serve as models for, and selective reinforcers of, their clients' behavior
( Bandura, Lipsher, & Miller, 1960; Goldman, 1961; Murray, 1956; Rosen-

thal, 1955; Truax, 1966; Winder et al., 1962), it is surprising that many
therapists continue to view the psychotherapeutic process as one that does
not involve behavioral influence and control.
In later writings, Rogers 1956), a leading proponent of the anticontrol
(

position, has acknowledged that psychotherapists do in fact manipulate

and control their clients' behavior within the treatment setting. He con-
tends, however, that this benevolent external control yields "self-actual-
ized," "flexible," and "creatively adaptive" persons whose post-therapy
behavior is under internal control and no longer subject to the psycho-
therapist's influences. The actual outcomes, however, are considerably at
variance with these idealized pretensions. A brief comparison of interview
protocols of cases treated by Rogerian therapists with those of clients seen
by therapists representing differing theoretical orientations clearly reveals
that, farfrom being individuated and self-actualized, the clients have
been thoroughly conditioned and converted to the belief system, vernacu-
 82 VALUE ISSUES AND OBJECTIVES

lar. and interpretations of reality favored by their respective psvchother-

apists. Such conformity in verbal behavior is partly achieved through

selective reinforcement. Sequential analyses of verbal interchanges in

cases treated by Rogers revealed that the therapist consistently approved
certain behaviorsand disapproved others Murray. 1956; Truax. 1966 As .

treatment progressed, approved responses increased in frequency while

disapproved verbalizations diminished.
In the often quoted debate between Rogers and Skinner 1956 con- I
I

cerning the moral implications of behavioral control. Rogers distinguishes

among three types of control: this provides an excellent illustration of the
use of propitious relabeling to minimize the ethical decisions that confront
therapists and other agents of change. In the first category, designated as
external control, person A creates conditions that alter person B's behav-
ior without his concurrence. The second and presumably more humani-
tarian form. labeled influence, involves processes in which A arranges
conditions that modify B's behavior, to which he gives some degree of
consent. The distinction between external control and influence, however,
ismore apparent than real. In many instances certain conditions are im-
posed upon individuals without their agreement, knowledge, or under-
standing, from which they can later free themselves bv willingly changing
their behavior in a direction subtly prescribed by controlling agents. Thus,
for example, persons who have been legally committed to mental hospitals
or penal institutions may voluntarily enter into treatment programs to
acquire the types of behavior that will improve their living circumstances
in the institution and ensure a speedy discharge. A more fundamental
ethical distinction can be made in terms of whether the power to influ-
ence others is utilized for the advantage of the controller or for the bene-
fit of the controllee. rather than in terms of the illusory criterion of willing
consent.
Internal control, Rogers' third category, involves a process in which
a person arranges conditions so as to manage his own responsiveness.
Although self-monitoring svstems play an influential role in the regulation
of human behavior, they are not entirely independent of external influ-
ences. Self-monitoring svstems are transmitted through modeling and re-

inforcement processes. After a person has adopted a set of behavioral

standards for self-evaluation he tends to select associates who share simi-
lar value svstems and behavioral norms ^ Bandura & Walters. 1959; Elkin

& YVestlev. 1955 . The members of his reference group, in turn, serve to
reinforce and to uphold Ins self-prescribed standards of conduct. A person
who chooses a small select reference group that does not share the values
of the general public may appear highly individualistic and "inner-
directed." whereas in fact he is very much dependent on the actual and
 —

Factors Impeding Specification of Objectives S3

fantasied approval and disapproval of a few individuals whose judgments

he values highly.
During the course of psychotherapy, clients likewise adopt, through
modeling, their therapists' values, attitudes, and standards of conduct for
self-evaluation Pentonv. 1966; Rosenthal. 1955
( Responsiveness to mod- .

eling influences is apt to be particularly enhanced in a relationship in

which a person has developed a strong positive tie to a prestigious model
(Bandura & Huston. 1961; Henker, 1964; Mussen & Parker, 1965 a con- .

dition which is emphasized considerably in most forms of psvchotherapv.

Studies of modeling effects further disclose that persons tend to perform
the model's behavior in his absence Bandura & Kupers. 1964; Bandura.
I

Ross. & Ross. 1963 and they respond to new situations in a manner con-
(,

sistent with the model's dispositions even though they have never ob-
served the model's behavior in response to the same stimuli Bandura &
Harris. 1966; Bandura & McDonald. 1963; Bandura & Mischel, 1965'.
These findings indicate that after the model's attitudes and behavioral
attributes have been adopted, he continues to influence and indirectly to
control the subject's actions, though he is no longer physically present.
In fact, in Rogers' 1951 I
conceptualization of maladjustment, introjected
parental values are construed as continuing pathological influences that
maintain disturbing incongruities in the clients' self-structure. However,
after internalized parental values are supplanted by adoption of the
therapist's attitudes and standards, the client is flatteringly portrayed
—
by the psychotherapist as self-actualized, flexibly creative, and self-
directed!
Much of the controversy between Rogers and Skinner centers around
theirown value preferences for others. Skinner advocates that people be
made "truly happv. secure, productive, creative, and forward-looking";
Rogers argues in favor of self-direction and self-actualization of potential-
ities as the prescribed objective of social influence. It might be noted

parenthetically that in the context of proclaiming the self-actualization

objective. Rogers argues vigorously against self-actualization in Skinnerian
directions. The leitmotif in this discourse appears to be one of belief
conformity rather than self-realization. As usually happens in disputes
over therapeutic outcomes, "happiness" and "conformity to societal norms"
are selected as examples of unwholesome outcomes equated with sloth-
fulness; self-actualization,on the other hand, is proffered as an enno-
bling aim. To balance the evaluative scales, it should be noted that the self-
centered ethic of self-actualization might be equally questioned on moral
grounds, particularly by innocent victims of self-actualized despots or less

notorious but selfish, self-directed persons. Universally accepted goals are

difficult to come by because all the various patterns of behavior enthusias-
84 VALUE ISSUES AND OBJECTIVES

tically promoted by therapists of different persuasions can be used to

produce inimical human effects.
The most remarkable feature of the foregoing, seemingly humanistic,
rhetoric is that neither participant acknowledges that the choice of behav-
ioral objectives is rightfully the client's. A person may seek from therapy
neither Skinner's security nor a Rogerian conversion in the guise of self-
realization. We shall return shortly to this issue of value standardization
and the inclination of therapists to impose their own cherished objectives
upon their clients.
Contrary to the beliefs of Rogers, Shoben, and other critics, behavior-
ally oriented approaches usually involve considerably less unnecessary
control and manipulation of attitudes and values than do the procedures
based upon the psychodynamic model. In the latter treatments, any
behavior, no matter how trivial or apparently irrelevant, tends to be
viewed as a derivative of concealed psychodynamic forces and is there-
fore subject to analysis and reinterpretation in terms of the therapist's
theoretical predilections. Thus virtually no aspect of the client's life his —
social, marital, and sexual behavior, his political and religious beliefs, his

vocational choice, his child-training practices —escapes the therapist's

repeated scrutiny and influence over a period of several years. Since this
approach tends to regard behavioral difficulties as superficial manifesta-
tions of more fundamental and often unconscious internal events, influ-
ence attempts are primarily directed toward subject matters of question-
able relevance. It is not uncommon, therefore 1
, to find clients whose belief
systems have been thoroughly modified despite little amelioration of the
behavioral difficulties for which they originally sought help.
In contrast, behaviorally oriented therapists generally confine their
therapeutic efforts to the behavioral problems presented by the client.
These are labeled as learned styles of behavior rather than as expressions
of esoteric unconscious processes or as manifestations of mental disease.
Moreover, the procedures and objectives are undisguised, the treatment
is typically of shorter duration, and clearly goal-directed. To be sure,

within this highly structured interaction, the therapist must exercise re-

sponsible control over conditions affecting relevant segments of the

client's behavior if he is to fulfill his therapeutic obligations. In this type

of approach, however, the psychotherapist is less inclined to condition

and to shape his client's belief systems in accordance with his own views.
Paradoxical as it may seem, the psychotherapists who pride themselves on
being nonmanipulative and noncontrolling are, albeit unwillingly, often
engaged in a more disguised and manipulative enterprise than is true of
most behaviorally oriented practitioners. It should be made clear, how-
ever, that behavioral principles do not dictate the manner in which they
are applied. Undoubtedly some behavioral therapists encroach on people's
Factors Impeding Specification of Objectives 85

rights to decide the direction in which their behavior will be modified,

and act as therapeutic agents devoid of consideration and regard for
values.

ESTABLISHMENT OF FREEDOM OF CHOICE

THROUGH BEHAVIORAL APPROACHES
Discussions of the moral implications of behavioral control almost
always emphasize the Machiavellian role of change agents and the self-
protective maneuvers of controllees. The fact that most persons enter
treatment only as a last resort, hoping to modify patterns of behavior that
are seriously distressful to themselves or to others, is frequently over-
looked. To the extent that therapists engage in moral agonizing, they
should fret more about their own limited effectiveness in helping persons
who undergo financial hardships to achieve desired changes,
are willing to
than in fantasizing about their potential powers. The tendency to exag-
gerate the powers of behavioral control by psychological methods alone,
irrespective of willing cooperation by the client, and the failure to recog-
nize the reciprocal nature of interpersonal control obscure both the
ethical issues and the nature of social influence processes.
In discussing moral and practical issues of behavioral control it is
essential to recognize that social influence is not a question of imposing
controls where none existed before. All behavior is inevitably controlled,
and the operation of psychological laws cannot be suspended by romantic
conceptions of human behavior, any more than indignant rejection of the
law of gravity as antihumanistic can stop people from falling. As Homme
and Tosti 1965) point out, "either one manages the contingencies or they
(

get managed by accident. Either way there will be contingencies, and

they will have their effect [p. 16]." The process of behavior change,
therefore, involves substituting new controlling conditions for those that
have regulated a person's behavior. The basic moral question is not
whether man's behavior will be controlled, but rather by whom, by what
means, and for what ends.
The primary criterion that one might apply in judging the ethical
implications of social influence approaches (Kelman, 1965) is the degree
to which they promote freedom of choice. It should be added, however,
that if individualism is to be guaranteed, it must be tempered by a sense
of social obligation. Custodial institutions created by societies are highly
populated with socially injurious individualists. A person's freedom of
self-expression can be restricted in several ways, each of which presents
somewhat different ethical problems in the reestablishment of self-deter-
mination.
Self-restraints in the form of conditioned inhibitions and self-censur-
ing responses often severely curtail a person's effective range of behaviors
86 VALUE ISSUES AND OBJECTIVES

and the types of options that they are likely to consider for themselves.
In many instances, for example, persons are unable to participate freely
in potentially rewarding social interactions because of severe phobias;
they are unable to engage in achievement, aggressive and heterosexual
activities; and they deny themselves socially permissible gratification be-
cause of austere, self-imposed standards of conduct. Treatment programs
designed to reduce rigid self-restraints are rarely viewed as ethically
objectionable, since they tend to restore spontaneity and freedom of
choice among various options of action. Ethical issues arise only if a
change agent uses his influence selfishly or to make his clients socially
irresponsible.
Behavioral deficits also greatly restrict freedom of choice and other-
wise curtail opportunities for self-direction. Persons' positions in various
status and power hierarchies are to a large extent determined by their
social, educational, and vocational competencies. The degree of control
that one can exercise over one's own activities, the power to form and
to modify one's environment, and the accessibility to, and control over,
desired resources increase with higher status positions. Persons who have
developed superior intellectual and vocational capabilities enjoy a wide
latitude of occupational choices; they are granted considerable freedom
to regulate both their own activities and the behavior of others; and they
have the financial means of obtaining additional privileges that further
increase their autonomy. By contrast, high school dropouts who lack
sociovocational proficiencies are relegated to a subordinate status, in
which not only is their welfare subject to arbitrary external controls, but
they are irreversibly channeled into an economic and social life that
further restricts their opportunities to use their potentialities and to affect
their own life circumstances. Eliminating such behavioral deficits can
substantially increase the level of self-determination in diverse areas of
social functioning.
Societally imposed restrictions on freedom of self-expression occur as
responses to deviant behavior that violates legal codes. Chronic alcoholics,
drug addicts, sexual deviates, delinquents, psychotics, and social noncon-
formists and activists may have their liberties revoked for fixed or indefi-
nite periods when their public actions are judged to be socially detri-
mental and therefore to be subject to social control. Special ethical prob-
lems are most likely to arise wherever restoration of his freedom is made
contingent upon the individual's relinquishing socially prohibited pat-
change acts in opposition to the society
terns of behavior. If an agent of
which supports him institutionally, then he evades his broader social
responsibilities with which he has been entrusted. If, on the other hand,
he imposes conditions upon his captive clients designed to force con-
formity to social norms, he is subverting the client's right to choose how
Factors Impeding Specification of Objectives 87

he shall live hislife. These moral dilemmas are less difficult to resolve in

cases where the person's behavior injures or infringes the freedom of

others. Such persons have the choice of regaining their autonomy by
undergoing changes within a broad range of socially tolerated alterna-
tives, or setting no limits on their own behavior and having society restrict

them to institutions. The ethical dilemma is more serious when conven-

tional norms are questioned by many members of society and new
standards of behavior are advocated. Today there are open controversies
over the morality of homosexuality, premarital sexual intercourse, use of
nonaddictive drugs, civil disobedience to unjust rules, and many forms of
social behavior that are publicly defined as illegal. In such cases as these,
therapeutic agents may support changes in socially prescribed directions
or give legitimacy to deviant patterns, depending upon the social and
personal consequences of the behavior, the client's preferences, and the
therapist's own value orientation.
Most people whose freedom is curtailed by societally imposed restric-
tions and who voluntarily seek psychotherapeutic help are not that
strongly wedded to deviant behavior; but because it is powerfully rein-
forcing, or because they lack more have diffi-
satisfying alternatives, they
culty relinquishing it. The establishment and the reduction
of self-control
of positive valences associated with deviant activities may sometimes
require the use of aversive procedures as part of the treatment program.
The use of aversive methods is apt to be criticized as being, if not anti-
therapeutic, then certainly antihumanistic. But is it not far more human-
itarian to offer the client a choice of undergoing a brief, painful experi-
ence to eliminate self-injurious behavior, or of enduring over many years
the noxious, and often irreversible, consequences that will inevitably
result if his behavior remains unaltered?
Restrictions of behavioral freedom from socially sanctioned
arise also
discrimination. In such cases a person's freedom is curtailed because of
his skin color, his religion, his ethnic background, his social class, or other
secondary characteristics. When a person's warranted self-determination
is externally restricted by prejudicial social practices, the required
changes must be made at the social systems level.
It is often mistakenly assumed ( London, 1964 ) that traditional psycho-

therapies fervently embrace humanism whereas behavioral approaches,

for reasons never explicated, are supposedly uninterested in the moral
implications of their practices or are antagonistic toward humanistic
values. In fact, behavioral therapy is a system of principles and procedures
and not a system of ethics. Its methods, and any other effective pro-
cedures for that matter, can be employed to threaten human freedom
and dignity or to enhance them.
When freedom is discussed in the abstract it is generally equated
 VALUE ISSUES AND OBJECTIVES

with nondeterminism; conversely, automatonism is associated with a de-

terministic position. Whether freedom and determinism are compatible or
irreconcilable depends upon the manner in which causal processes are
conceptualized. According to prevailing theories of personality, human
actions are either impelled from within by concealed forces or externally
predetermined. If individuals were merely passive reactors to external in-
fluences, then their behavior would be inevitable; would be absurd to
it

commend them for their achievements or to penalize them for their trans-
gressions. It would be more from this
sensible, point of view, to praise and
to chastise the external determinants. But since these events are also un-
avoidably determined by prior conditions, the analysis results in an infinite
regression of causes. Some degree of freedom is possible within a deter-
ministic view if it is recognized that a person's behavior is a contributing
factor to subsequent causal events. It will be recalled from the previous
discussion of reciprocal influence processes that individuals play an active
role 1
in creating their own controlling environment.
From a social-learning point of view freedom is not incompatible with
determinism. Rather a person is considered free insofar as he can partly
influence future events bymanaging his own behavior. One could readily
demonstrate that a person can, within the limits of his behavioral capabil-
ities and environmental options, exercise substantial control over his

social lifeby having him plan and systematically carry out radically dif-
ferent courses of action on alternate daws. Granted that the selection of
a particular course of behavior from available alternatives is itself the
result of determining factors, a person can nevertheless exert some con-
trol over the variables that govern his own choices. Indeed, increasing use
is being made of self-control systems (Ferster, Nurnberger, & Levitt, 1962;
Harris, 1969; Stuart, 1967) in which individuals regulate their activities
own wishes by deliberate self-management of reinforce-
to fulfill their
ment contingencies. The self-control process begins by informing indi-
viduals of the types of behaviors they will have to practice to produce
desired outcomes, of ways in which they can institute stimuli to increase
the occurrence of requisite performances, and of how they can arrange
self-reinforcing consequences to sustain them. Behavioral change pro-
cedures that involve role enactment also depend upon the self-determina-
tion of outcomes through clients' regulation of their own behavior and
the environmental contingencies that reciprocally influence it. Contrary
to common belief, behavioral approaches not only can support a human-
istic morality, but because of their relative effectiveness in establishing
self-determination these methods hold much greater promise than tradi-
tional procedures for enhancement of behavioral freedom and fulfillment
of human capabilities.
Factors Impeding Specification of Objectives

BEHAVIORAL OBJECTIVES IN THE MODIFICATION

OF INTERNAL STATES AND COMPLEX DYSFUNCTIONS
Thus far the failure to orient treatment to desired behavioral out-
comes has been attributed to the prevalence of all-purpose single-method
therapies, to reliance on benign relationship factors to produce diverse
changes, and to reluctance to acknowledge the issues of values and be-
havioral control involved in the modification of social behavior. The
failure to specify objectives in behavioral terms also stems in part from
the view that, in many cases, internal psychic states may constitute the
major problems requiring modifications. These conditions are usually de-
fined in such broad terms as unhappiness, absence of meaning and pur-
pose in life, and on how
feelings of worthlessness. Before speculating
phenomenological events can be most effectively altered, it should be
noted that it is highly fashionable to construe one's concrete behavioral
problems in abstract, cosmic terms. It is understandably less distressing
to present one's plight as a manifestation of social maladies of alienation,
exploitation, or dehumanization than it is to acknowledge despairing per-
sonal shortcomings, evident heterosexual inadequacies, intellectual fail-

ures, lack of vocational ingenuity and productivity, and inability to form

satisfying interpersonal relationships.
Abstract problems such as "unhappiness," and "purposelessness" can-
not be successfully modified by any form of treatment as long as they
remain disconnected from their concrete experiential determinants. A
person does not feel abstractly unhappy; he is most likely distressed about
specific problems arising from his mode of functioning in social, voca-
tional, sexual, or familial areas. After the contributing conditions have
been identified, an appropriate treatment program can be devised. The
principal difficulty in modifying complex conditions is not that behavioral
approaches are inapplicable, but that the psychological phenomenon is
generally described in global abstract terms and the constituent deter-
minants are never clearly specified.
Greatest progress will be made in the successful treatment of so-called
complex disorders when they are conceptualized, not as nebulous general
states, but as psychological conditions involving multiple problems with
varying degrees of interdependence. From this perspective, altering com-
plex behavioral dysfunctions does not require radically different methods
from those applied to the modification of single disorders. This issue can
perhaps be illustrated by considering learning deficits. A child may have
developed satisfactory academic skills in all areas except mathematics.
Another child is grossly deficient in mathematics and in other academic
skills, lacks social behavior skills that would enable him to maintain satis-
90 VALUE ISSUES AND OBJECTIVES

fying interpersonal relationships, and has not developed motor competen-

cies required for play activities. There exists no single nonspecific treat-
ment that can simultaneously create competencies in intellectual, linguis-
tic, social, and motoric areas of functioning. Separate programs would
have to be devised for each type of problem. But the procedures used to
develop arithmetic competencies would be essentially the same in the
single-problem and the multiple-problem case. This is precisely the ap-
proach employed by Lovaas (1967) in establishing language functions,
interpersonal capabilities, and intellectual skills, and in eliminating grossly
bizarre behavior in autistic children who present, in extreme fonns, one
of the most generalized and complex psychological disorders that thera-
pists are called upon to treat. Additional examples of successful modifi-
cation of multiform problems through specific diverse treatments is pro-
vided by Patterson & Brodsky (1967). and by Risley & Wolf (1966).
The developments in behavioral therapy in some respects parallel those
in medicine, where global all-purpose treatments of limited efficacv were
eventually replaced by powerful specific procedures for treating partic-
ular physical disorders.
The behavioral change process is not as piecemeal as the preceding
remarks might imply. Most psychological functions are at least partially
interdependent. Therefore, desirable changes in one area of behavior
may produce beneficial modifications in other areas not directly involved
in the treatment program. Often, as will be shown later, a relatively
circumscribed problem has widespread social consequences; and a change
in a specific deviant behavior can have pervasive psvchologieal effects.

If the major aim of therapy is the modification of phenomenological

events, the empirical question remains how such changes can be made
most successfully. Some theorists hold that behavior is essentially a by-
product of phenomenological experiences; therefore they select the latter
events as the major subject matter of therapeutic conversations. Accord-
ing to social-learning theorv, self-descriptions and phenomenological ex-
periences are partly by-products of behaviorally produced outcomes.
People, for example, who lack the social and vocational competencies
required for meeting environmental demands, and who resort to defective
coping strategies will undoubtedly engender numerous adverse conse-
quences, which will give rise to despondency, negative self-evaluations,
and other subjective distresses. Similarly, those who derive inadequate
positive reinforcement from their vocational and interpersonal activities
will experience feelings of purposelessness and alienation. From a social-
learning perspective, phenomenological and other internal events can be
more effectivelv modified through behavioral changes and the feedback
from resulting consequences than through conventional interview pro-
cedures.
Factors Impeding Specification of Objectives 91

A laboratory study conducted by Keister ( 1938 ) illustrates how phe-

nomenological events can be altered by feedback from a series of care-
fully guided mastery experiences. The author selected a group of children
who exhibited extreme maladaptive tendencies, including withdrawal,
destructiveness, sulking and crying, and expressions of feelings of help-
lessness when faced with problem-solving tasks. Keister did not obtain
ratings of the children's self-concepts, but it is highly probable that, as a
result of repeated failure experiences, these children would eventually
evaluate themselves in negative terms. In the treatment program the
children solved a series of graded problems that grew progressively more
difficult, thus ensuring a gradual build-up of skill in coping with increas-
ingly difficult tasks. In addition, the experimenter consistently rewarded
the children's successful solutions and persistent task-oriented behavior.
A pre- and comparison of the children's responses to exceedingly
post-test
difficult tasks showed that the success experiences were highly effective
in replacing the formerly maladaptive tendencies with constructive, con-
fidence-producing behavior.
Because cognitive and attitudinal changes have rarely been systemati-
cally assessed in behaviorally oriented programs, it is generally assumed

that these types of treatment approaches alter only specific behavioral

functioning. Several experiments have recently been designed especially
to provide empirical evidence of the affective and cognitive consequences
of behavioral changes. Bandura, Blan chard, and Ritter (1968) found that
elimination of phobic behavior was accompanied by marked attitudinal
changes toward previously feared situations. In addition, disturbing emo-
tional responsiveness not only toward the phobic stimulus but toward
situations beyond the specifically treated condition was substantially
reduced. In a preliminary study, Wahler and Pollio (1968) similarly
demonstrated that behavioral changes produced in a boy through selec-
tive social reinforcement altered favorably his evaluations of himself and
others. As might be expected, his evaluation of events closely related to
the treatment objectives changed most markedly.
Not only are self-attitudes and feeling states fundamentally affected
by behaviorally produced experiences, but a favorable change also gains
the person acceptance and increased social status (Hastorf, 1965). The
positive social feedback engendered by behavioral competence can thus
have important phenomenological consequences. In subsequent chapters
research evidence will be presented showing that cognitive and affective
modifications can be achieved more successfully through planned behav-
ioral change than through attempts to alter internal events directly. The
relative superiority of a behaviorally oriented approach probably stems
from the fact that a basic change in behavior provides an objective and
genuine basis by which one feels self-respect, self-confidence, and dignity.
92 VALUE ISSUES AND OBJECTIVES

INSIGHT AS A THERAPEUTIC OBJECTIVE

Most traditional approaches to psychotherapy consider the achieve-

ment of insight or self-awareness to be a prerequisite for the production
of widely generalized and enduring behavioral changes. Therefore, devel-
opment of insight constitutes one of the primary objectives of interview
strategies. For this reason, among the numerous technical issues discussed
in expositions of psychotherapeutic procedures, those pertaining to timing
and depth of interpretations, methods for channeling verbalizations into
areas assumed to be conflict-laden, strategies for handling clients' resist-
ances, and explanations of the possible symbolic significance of verbal
and nonvocal responses have all received considerable attention.
In therapeutic practice, the development of insight is largely accom-
plished by therapists repeatedly interpreting the verbal, affective, and
social responses that their clients report or exhibit within the treatment
setting. A number of authorities have proposed rules for the optimal level
of interpretive responses for promoting insights. According to Rogers
( 1951 ) , for example, clients will engage in progressively deeper self-
exploration provided that therapists label only the feelings that are ex-
pressed more or less explicitly. On the other hand, Fenichel ( 1941 ) and
other advocates of psychoanalytical procedures recommend that thera-
pists proceed slightly beyond what the client is able to accept and expe-
rience emotionally at any given time. By (1960), Berg
contrast, Klein
(1947), and Rosen (1953), among others, contend that rapid and funda-
mental personality changes can be achieved only by deep interpretations
of internal processes of which the client is completely unaware. Research
bearing on this issue (Collier, 1953; Dittmann, 1952; Harway, Dittmann,
Raush, Bordin, & Rigler, 1955) has been mainly concerned with attempts
to scale the depth of therapists' interpretive responses, which are typically
rated on a continuum ranging from superficial restatements of clients' re-
marks to suggestions of causal relationships and psychological events that
are entirely foreign to clients' views of themselves. In addition, client-
therapist verbal interchanges have been occasionally analyzed in an effort

to establish relationships between variations in therapists' interpretive re-

sponses and different verbal indices of therapeutic progress (Colby, 1961;
Dittmann, 1952; Frank & Sweetland, 1962; Speisman, 1959).
Despite the lack of consensus regarding optimal interpretive pro-
cedures, it is generally assumed that through skillful labeling of repressed
strivings, which manifest themselves in various derivative forms, the
unconscious determinants of the client's behavior are gradually made
conscious. After these unconscious events are brought into awareness they
presumably cease to function as powerful instigators of behavior, or they
become more susceptible to cognitively mediated control. Hence it is
 :

Factors Impeding Specification of Objectives 93

believed that with the achievement of insight, flexible, voluntarily guided

behavior replaces automatic, indiscriminate responding.
Although the acquisition of insight is considered an essential goal of
treatment and supposedly results in a wide variety of beneficial effects,
insight has never been adequately defined (Zilboorg, 1952), nor has the
manner in which it supposedly mediates behavioral change ever been
clearly specified or demonstrated. Apart from the difficulties of defining
insight, the history of a client's known, and the recon-
behavior is rarely
structed content of both historical and contemporary events is highly
influenced by the therapist's suggestive probing and selective reinforce-
ment of the client's verbalizations. Thus, as Marmor (1962) has pointed
out, schools of psychotherapy have emerged with their own favored set
of hypothetical internal agents, and their own preferred brand of insight;
these can be readily confirmed by self-validating interview procedures.
For these reasons, psychotherapists of differing theoretical orientations
repeatedly discover their preferred psychodynamic agents, but are un-
likely to find evidence for the underlying causes emphasized by their
theoretical rivals

But what is insight? To a Freudian, it means one thing, to a Jungian

another, to a Rankian, a Horneyite, an Adlerian or a Sullivanian, still

another. Each school gives its own particular brand of insight. Whose
are the correct insights? The fact is that patients treated by analysts of
all these schools may not only respond favorably, but also believe
strongly in the insights which they have been given. Even admittedly
'inexact' interpretations have been noted to be of therapeutic value!
Moreover, the problem is even more complicated than this; for, depend-
ing upon the point of view of the analyst, the patients of each school
seem to bring up precisely the kind of phenomenological data which
confirm the theories and interpretations of their analysts! Thus each
theory tends to be self-validating. Freudians elicit material about the
Oedipus Complex and castration anxiety, Adlerians about masculine
strivings and feelings of inferiority, Horneyites about idealized images,
Sullivanians about disturbed interpersonal relationships, etc. The fact
is that in so complex a transaction as the psychoanalytic therapeutic
process, the impact of the patient and the therapist upon each other,

and particularly that of the latter upon the former, is an unusually pro-
found one. What the analyst shows interest in, the kinds of questions he
asks, the kind of data he chooses to react to or to ignore, and the inter-
pretations he makes, all exert a subtle but significant suggestive impact
upon the patient to bring forth certain kinds of data in preference to
others [Marmor, 1962, p. 289].
94 VALUE ISSUES AND OBJECTIVES

The above assessment of the arbitrariness of psychotherapeutically

derived insights finds some support in the findings of an experiment con-
ducted by Heine (1953), in which clients who had been treated by
psychoanalytic, Rogerian, and Adlerian therapists were asked to specify
the factors responsible for their personality changes. Although clients
treated by therapists of these different theoretical affiliations reported a
similar degree of improvement, they tended to account for their behavior
in terms of the explanation favored by their respective therapists. These
results, and other findings that will be cited later, stronglv indicate that
the content of a particular client's insights and emergent "unconscious"
could be predicted more accurately from knowledge of his therapist's
theoretical belief system than from the client's actual social-learning his-
tory.

INSIGHT: A SOCIAL-CONVERSION OR A SELF-DISCOVERY PROCESS?

In the preceding section it was suggested that interpretive activities
might be more accurately represented as a direct social influence rather
than as a process involving delicate levitation of repressed forces from
the region of the client's unconscious mind. Psychotherapists' reports that
their clients have achieved self-awareness generally mean, in behavioral
terms, that clients have learned to label social stimulus events, past and
present causal sequences, and their own response's in terms of the theo-
retical predilections and language of their psychotherapists. In traditional
practice insight primarily represents a form of self-evaluative behavior
that is conditionable and extinguishable. as are nonverbal performances.
By subsuming the development of insight under the broad framework of
social persuasion, much of the knowledge discovered by experimental
social psychologv can be applied to the understanding of how therapists
induce, alter, and control their clients' self-insights —even though, in some
cases, therapists subscribe to such idiosyncratic beliefs about the condi-
tions governing human behavior as to strain the broad limits of ration-
ality.

Several factors of the treatment situation contribute to the process of

persuasion, particularly as it manner in which
applies to changes in the
clients construe their own
and what determines them. As noted in
actions
the preceding chapter, because of initial selectivity and later attrition of
cases during the course of treatment, the types of people who seek out
and remain in psychotherapv display personal attributes similar to those
of persons who, in laboratory studies of conformity, attitude change, and
conditionabilitv. are highly amenable to social influence. In addition to
the selection of persuasible clients, therapists, by virtue of their advanced
training and expertise, are usually accorded high prestige and credibility.
Views expressed by sources of high credibility generally exert a stronger
Factors Impeding Specification of Objectives 95

influence on recipients' opinions than those of low credibility sources

(Berg & Bass, 1961; Bergin, 1962; Hovland, Janis, & Kelley, 1953). Inter-
pretations made by prestigious psychotherapists are, therefore, more likely
to alter clients' opinions of themselves than to produce disbelief or to
destroy their confidence in the therapist.
A closely related factor that seems both to augment attitudinal con-
formity and to reduce discrediting of the psychotherapist is the ambiguity
of the psychotherapeutic situation. Usually the goals of treatment, if dis-
cussed in any detail, are stated only in general terms; clients are given
only general instructions about the nature of the therapeutic task and the
manner which the objectives are to be realized. The therapist often
in
deliberately strives to remainambiguous in order to facilitate inappropri-
ate generalization of maladaptive patterns of behavior toward the thera-
pist. Most important, the subject matter of interpretations is primarily

concerned with inferences about unobservable internal processes rather

than with more objective behavioral events. Clients would, of course,
have no difficulty in ascertaining the validity of therapists' judgments of
factual matters; however, clients have little objective basis for evaluating
whether they possess Oedipus complexes, repressed hostilities, latent
homosexual urges, oral-sadistic drives, and other esoteric motivational
forces whose identification is further complicated by the fact that they are
often inferred from both the high incidence and the absence of the same
behavior. Studies of social compliance (Asch, 1952; Berg & Bass, 1961)
have abundantly documented that persons can be more easily induced to
accept the opinions of others on subjective and unfamiliar matters than
on interpretations of events for which objective cues are available. Having
altered their judgments, subjects typically underestimate the extent of
their compliance and the role of social influence in modifying their
opinions (Rosenthal. 1963).
The fact that psychological treatment promises relief from the distress
occasioned bv the client's behavioral difficulties also works against his
quick dismissal of insights proffered by the psychotherapist, who is often
sought out as a last resort. Distress generally facilitates persuasion, espe-
cially if solutions allegedly effective at stress reduction are also made
available (Chu, 1966; Dabbs & Leventhal, 1966).
In attitude change research the opinions selected for modification
have generally involved social rather than highly personal matters. A
study by Bergin ( 1962 ) of interpretations as persuasive communications
demonstrates that the variables shown to control social attitudes play a
similarly influential role in altering the self-attitudes that often concern
psychotherapists.
In making interpretations, a communicates information
therapist
about the client which is somewhat discrepant with the client's view of
 VALUE ISSUES AND OBJECTIVES

himself. The controversy regarding the optimal depth of interpretation

might therefore be recast in the following form: Can a person's self-
attitudes be altered more rapidly by presenting him with a progressive
series of mildly discrepant communications slightly beyond what the
client is willing to accept, or by confronting him with extremely divergent
communications as recommended by Rosen (1953) and Klein (I960)?
The search for an optimal level of interpretation may be a fruitless
pursuit since, according to persuasion theory, the effectiveness of varying
degrees of discrepant communications is highly dependent upon the at-

tributes, credibility, social and power of the communicator.

prestige,
Therapists to whom are attributed low credibility and prestige, for ex-
ample, may be producing attitudinal changes even
relatively ineffectual in
though they adhere to interpretations that are only moderately
faithfully
at variance with their clients' beliefs about themselves. On the other
hand, when psychotherapists considered to be a source of high
are
credibility, and possess power reward and punish the client's behavior,
to
then "deep" interpretations may be highly influential in shaping clients'
self-insights. Perhaps this is the reason why Rosen, who exercises consider-
able rewarding and coercive power over his psychotic patients, finds
that deep interpretations produce rapid attitudinal changes, whereas
similar interpretive strategies by therapists who lack control over their
patients' environment generally prove The interactive effects
ineffectual.
of these different social variablesupon conforming self -evaluations are
most clearly illustrated in Bergin's study (1962), which manipulated
independently both credibility of the communicator and degree of in-
congruity of interpretations.
In the high credibility condition, college students were seen indi-
vidually in the Psychiatry Department of a medical center by the ex-
perimenter, who was ostensibly director of a depth personality assessment
project. To enhance further the verisimilitude of the situation, students
were escorted by the clinic receptionist to the experiment room, which
was furnished with, among other things, psychophysiological recording
equipment, an impressive array of medical and psychiatric tomes, and
a large portrait of Sigmund Freud.
After the students had rated their interpersonal characteristics on
several rating scales, theywere administered an extensive battery of
psychological tests which were presented as valid measures of under-
lying personality dynamics. In a session conducted several days later,
the experimenter informed the students that, according to results of the
depth assessment, their level of self-understanding was quite accurate
on all the traits rated except for the area of masculinity- femininity. They
then received, according to random assignments, interpretations that
depicted them as either moderately, highly, or extremely more feminine
Factors Impeding Specification of Objectives 97

2.6 High credibility •-

2.4 Low credibility »-

2.2
2.0
1.8

1.6

1.4

1.2

1.0

0.8
0.6 h
0.4

0.2
0.0
Moderate High Extreme
Discrepancy

Figure 2-1. Mean change in self-appraisalconsidered most acceptable by sub-

jects as a function of credibility of the communicator and degree of discrepancy
of the interpretation from subjects' view of themselves. Bergin, 1962.

(masculine for girls) than they judged themselves to be. Later the
students rated themselves again so that changes in their self-evaluations
could be assessed. Students in the low credibility condition likewise
completed the initial self-ratings, received one of the three levels of
discrepant interpretations concerning their masculine status, and then
repeated the self -evaluation. In these cases, however, the judgments were
made in a decrepit basement office by a scrawny youngster on the basis
of casual observation.
The results, presented graphically in Figure 2-1, show that under
high credibility conditions the more divergent the interpretation the
greater the change in self-attitudes; on the other hand, when inter-
amount of attitude
pretations issued from a source of low credibility, the
change decreased with increasing discrepancy between the judgments
of the participants.
Although the generality of the self-evaluative conforming behavior
cannot be determined from the findings of the foregoing study, it never-
theless suggests strongly that people are willing to adopt erroneous
underlying attributes suggested to them by prestigious specialists. It
might be supposed that the persuasive efforts of psychotherapists would
be especially effective because the same interpretations are made re-
peatedly during prolonged treatment and are directed not only toward
assumed unconscious determinants but also toward clients' resistances
against the prompted insights.
Suggestive communications offered by prestigious agents under con-
ditions of ambiguity and high personal distress may be well suited for
98 VALUE ISSUES AND OBJECTIVES

imparting insights to clients, but after the self-beliefs have been socially
induced their maintenance is strongly governed by existing conditions
of reinforcement. Results of innumerable verbal conditioning experiments
and analyses of client-therapist interactions, which have been cited
earlier, furnishample evidence that psychotherapists selectively reinforce
conformity to their own opinions about the causes of behavior, and that
clients can readily secure their therapists' appreciation and approval by
reiterating the appropriate insights.
It would seem from the findings presented above that interpretive
psychotherapies may primarily represent a conversion of the client to the
therapist's point ofview rather than a process of self-discovery. It is not
surprising, therefore, that insight can be achieved without helping the
client with the difficulties for which the client originally sought help.
There is no reason to expect, for example, that a stutterer converted to
Freudianism, Jungianism, Existentialism, Behaviorism or to any other —
theoretical system —
will begin to speak fluently. His stuttering is more
likely to be eliminated bv necessary relearning experiences than by the
gradual discovery of predetermined insights. To account for the lack of
relationship between insight and social behavior, different varieties of
insights have been distinguished. On the one hand, there is "intellectual
insight," which is believed to exist when cognitive responses are present
but the accompanying social or emotional behavior is absent. Then there
is "emotional insight" which is typically defined in terms of the effects

which it presumably causes: If the client exhibits behavioral changes, he

has achieved emotional insight; if he fails to modify his social behavior
then he has simply acquired intellectual insight.
While the view that insight is a prerequisite of behavioral change is
widely accepted, some theorists (Alexander, 1963) have considered in-
sight to be a consequence of change, rather than its determinant. That is,
as anxieties are progressively reduced through the permissive conditions
of the treatment situation, formerly inhibited thoughts are gradually re-
stored to awareness. In recent years, however, many therapists have
become increasingly skeptical about the value of insights regarding hypo-
thetical psychodynamic events. The ethical and empirical questions that
have been raised with respect to interpretive modes of therapy would
apply equally to behavioral approaches if these used interview procedures
similarly to teach clients to construe their psychological functioning in
behavioral terms and did not effect any significant changes in the person-
alityproblems for which the clients sought aid.
Although insight into presumed psychic determinants of interpersonal
responses is of questionable validity and has little effect on behavior, con-
siderable experimental evidence, which will be reviewed in the conclud-
ing chapter, suggests that awareness of response-reinforcement contingen-
Decision Processes in the Selection of Objectives 99

cies can markedly influence overt performances. Unlike the arbitrary and
enigmatic nature of psychodynamic events, the controlling function of
environmental contingencies is readily demonstrable and amenable to
testing and verification.

BEHAVIORAL OBJECTIVES AND "POSITIVE MENTAL HEALTH"

Discussions of psychotherapeutic and socialization practices custom-
arily decry the lack of consensus among social scientists as to what con-
stitutes "positive mental health." Underlying this concern for agreement
is the belief that behavioral change principles cannot be judiciously ap-

plied until an adequate conception of mental health and the nature of the
"good life" is developed. The fact that a universal conception of mental
health would require value standardization is usually obscured by the
abstract nature of the discourse. On the other hand, when the issues are
cast in a more specific form, it becomes apparent that the search for
uniform criteria of "good" functioning is not only a fruitless pursuit; it is
also one that would raise serious ethical concerns if standards were ever
officially adopted and imposed on the populace. Who is to prescribe what
is the "healthiest" occupational activity, the "healthiest" political or reli-

gious belief, the "healthiest" style of living, the "healthiest" form of marital
or social relationships, or the "healthiest" artistic preferences?
People differ widely across social groups and over time in their views
of the ideal pattern of life. Indeed, as noted in the introductory chapter,
modes judged abnormal and a source of distress in
of behavior that are
one social group may be regarded
as commendable and emulative in
another subculture. In a society that values individualism the "good life"
may assume a wide variety of acceptable patterns. Although some com-
mon elements might be abstracted from the heterogeneity, the distillation
would most likely yield a set of general bland attributes. Social scientists
can make their greatest contributions in the ethical domain by assessing
the consequences of different styles of life. Such information would pro-
vide others with useful bases for making value choices.

Decision Processes in the Selection of Objectives

A frequent objection to behavioral approaches is that the people are

often unaware that being modified, and verbal condi-
their behavior is

tioning studies are typically cited as evidence. This portrayal of control-

ling power may be flattering, but in fact it is exceedingly difficult to
influence the behavior of another person without his awareness and con-
currence. Indeed, as has been pointed out elsewhere (Bandura, 1962),
verbal conditioning experiments actually demonstrate the relative weak-
100 VALUE ISSUES AND OBJECTIVES

ness of subtle influence attempts. In the typical verbal conditioning

study, the response class to be modified is not identified for the subject
and the experimenter purposely employs subtle verbal and nonverbal
reinforcers (e.g., "good," "right," nods, smiles, and other gestures) so that
the subject will have difficulty in recognizing the response-reinforcement
contingency. Under these circumstances subjects who discern the basis
upon which reinforcement is administered produce incremental changes
in the critical responses, whereas those who remain unaware generally
show no conditioning effects at all. If, on the other hand, the experi-
menter were to select attractive incentives and specified what behavior
would be rewarded, it is safe to predict that subjects would produce the
desired responses at asymptotic level almost instantaneously.
The psychological fascination with subtle and disguised social influ-
ence processes, and the comparative ineffectiveness of these procedures,
are also demonstrated by the short-lived interest in experimentation on
subliminal perception. The initial studies generated considerable public
alarm that behavioral scientists had paved a freeway to the "unconscious
mind," thus providing hidden persuaders of Madison Avenue a means of
trafficking in subliminal messages that could shape and control the
interests, attitudes, and social actions of persons without their awareness.
This picture is further reinforced by popular descriptions of the poten-
tialities up macabre associations of
of psychological control conjuring
1984 and Brave New which people are dominated by occult
World, in
technocrats who possess awesome methods of behavioral control. Some
state legislatures even enacted laws designed to control the potential
controllers. Research evidence, as usual, introduced a sobering note into
extravagant fantasies. Investigations of subliminal stimulation clearly
showed that stimuli at supraliminal levels have more pronounced effects
upon subjects' behavior than stimuli that are below the threshold of
awareness (McConnell, Cutler, & McNeil, 1958). Subliminal stimulation
either produces no behavioral changes or, at most, weak and fragmentary
ones.
Nevertheless, the conduct of change programs in shadowy ambiguity
is sometimes recommended on the assumption that persons' awareness of
influence attempts will not only arouse interfering counter control be-
havior, but will also reduce the potency of reinforcing stimuli. Although
these assumptions may have some validity in situations where the influ-

ence attempts are designed primarily to induce persons to perform actions

contrary to their interests and value systems (e.g., advertising, political

persuasion), they are less appropriate for situations in which the learner
selects his own objectives. In fact, awareness of and commitment to speci-
fied outcomes that are shared by agents of change tend to enhance posi-
Decision Processes in the Selection of Objectives 101

tive evaluation of change agents' efforts and to facilitate the acceptance

of their influence.

DECISIONAL RESPONSIBILITIES OF CHANGE AGENTS AND CLIENTS

The ethical implications of behavioral control cannot be discussed

meaningfully without specifying the scope of decision-making behavior of
both the client and the change agent. In any type of social influence
enterprise there exist two basic decision systems. One set of decisions
pertains to the selection of goals; these decisions require value judgments.
The second set of decisions, which involve empirical issues, relates to the
selection of specific procedures for achieving selected goals. In the latter
domain the agent of change must be the decision-maker, since the client
isin no position to prescribe the learning contingencies necessary for the
modification of his behavior. But though the change agent determines the
means by which specified outcomes can be achieved, the client should
play a major role in determining the directions in which his behavior is
to be modified. To the extent that the client serves as the primary deci-
sion-maker in the value domain, the ethical questions that are frequently
raised concerning behavioral control become pseudo issues.
When the client wishes to change a limited range of deviant behavior,
the objectives are self-evident and the change agent can proceed with
treatment as soon as the learning experiences appropriate to the desired
outcomes have been specified. More often, however, because clients are
uncertain about the benefits they hope to derive from treatment, or
because their goals are stated too broadly, the identification of relevant
outcomes must constitute the initial objective of the program. In such
instances it is necessary to conduct a thorough behavioral analysis in
order to identify the social conditions governing the client's response
patterns and the range of behavioral and situational modifications likely
to promote the desired psychological changes. After possible alternative
courses of action and their probable consequences are specified, the client
can participate in the selection of his treatment outcomes. This decisional
process is not unlike medical diagnosis in which a patient desires relief
from pain but cannot specify the cause of pain or a remedy for it. Rather,
the therapist must detect the factors producing pain and indicate the
chances for immediate and long-term benefits from alternative remedial
interventions. Once the patient has selected one of the alternatives, he
not only expects but demands that the therapist manipulate and control
events to accomplish the desired relief. A physician who fails to assume
full control over the progress of treatment may be charged with malprac-
tice. On the other hand, serious ethical problems would arise if a patient
consulting a medical specialist were promptly subjected to radical surgical
102 VALUE ISSUES AND OBJECTIVES

or medical procedures without his concurrence based on a clear under-

standing of the manner in which his physical status was to be modified.
Although the preceding example has focused on the ethical implications
of therapeutic work, analogous decision processes and value issues are
involved when a person consults lawyers, architects, bankers, and other
societal agents who possess the power to influence by reason of their
expertise. Until recently the major obstacle to serious use of a decision-
making approach such as this in behavioral change endeavors is that the
treatment alternatives were limited and the outcomes uncertain.
It would be naive to assume that agents of change play no role what-

soever in the determination of goals. In psychotherapy, for example, in

order not to influence the client's choice of behavior, a therapist would be
forced to conduct with aloof objectivity an exhaustive survey of all pos-
sible alternative outcomes from which the client could make his choice.
In practice, however, only a few feasible objectives are likely to be
examined and compared. The psychotherapist's value orientation may
partly determine not only the range and types of outcomes selected for
consideration but also the relative emphasis given to the probable conse-
quences associated with the various alternatives. Thus some encroach-
ment on the client's decision-making primacy in the value domain is
inevitable. If the change agent's value preferences are explicitly identified
as his personal biases and not represented to the client as scientific truths,
this problem is much less serious. If values were stated more explicitly,
clients would be more inclined to select therapists on the basis of similar
moral commitments and might well be more receptive to the therapist's
influence.
Occasionally a person may select goals that the change agent has no
desire to promote because the intended outcomes conflict with his basic
values or he lacks skill in the methods necessary for attaining the chosen
objectives. In such cases he may refuse to participate in the treatment or,
if the desired changes seem appropriate, he may refer the client else-

where.
Special problems in goal selection also arise when persons are confused
over their own values and purposes, or when they exhibit severe deficits
in reality-oriented behaviorand low capacity for communication. It might
be questioned whether such persons are capable of selecting meaningful
objectives for themselves. Fairweather, Sanders, Maynard, and Cressler
( 1969 ) have shown in their work with chronic schizophrenics that such
individuals can successfully participate in the selection of personal goals
provided the alternatives are defined in comprehensible terms of per-
formance and the clients are given responsibility for decision-making that
affects their daily lives. Some grossly deviant persons, of course, may
refuse to seek modifications of any sort. Often they constitute threats to
Decision Processes in the Selection of Objectives 103

themselves or to the welfare of others. If such persons are unwilling to

assist in selecting treatment goals, it does not mean that one should
abandon treatment attempts. Sometimes it is necessary to assume that the
person cannot exercise sufficient control over his behavior and to hope
that, with appropriate interventions, the person will reach a state of
aware self-interest in which he will desire further modifications within
a broad range of societally tolerated alternatives.

REDEFINITION OF CLIENT'S OBJECTIVES

The preceding discussion has been mainly concerned with problems

created by uncertainties about what people wish to gain from treatment.
A far more prevalent, but largely ignored ethical issue, is raised by thera-
pists' unilateral redefinition of the goals presented by the clients. This

revision of the therapeutic contract occurs most frequently in approaches

that focus major attention not on the behavior of the client but on infer-
ential inner states.The therapist usually takes the position that the client
does not know what his real problems are and that they can be revealed
only through a protracted series of interpretive interviews; the client's

behavioral problems are normally underrated as superficial derivatives of

underlying conditions that are believed to be most effectively modified
through the achievement of insight. After restructuring the central prob-
lem the therapist pursues objectives that are often quite different from
those originally sought by the client. If the client has been sufficiently
convinced that he is resolving more generic problems his behavioral dif-
ficulties assume secondary importance in the course of therapy, so that

even if they are not modified, he supposes the contract to be fulfilled.

Insight has been attained.
A therapeutic contract involves an obligation on the part of the thera-
pist to modify the problems presented by his clients. A therapist may
market a particular brand of insight without raising ethical objections
provided he adds two important qualifiers: First, he informs his clients
that the insights they are likely to attain reflect his own belief system and
second, that attaining them is apt to have little impact on the behavioral
difficulties that brought the client to treatment. It is evident from the

results of interpretive approaches that a therapist who leads his clients

to believe that insight will alleviate their behavioral malfunctioning is

unlikely to accomplish the changes he implies.

SEQUENTIAL DECISION-MAKING
Decisions about objectives are not irrevocable. Consequences resulting
from behavioral changes representing the initially selected outcomes may
lead to revision of subsequent aims. The initial objectives should be
assigned a provisional status in order to provide the client opportunities
104 VALUE ISSUES AND OBJECTIVES

to experiment with new behaviors and to experience their consequences;

then he can decide whether he wishes to pursue further the chosen
course of action. Moreover, during the course of treatment, previously
ignored areas of behavioral functioning may become more important than
original goals. Whenever this situation arises the treatment program can
be easily reoriented toward new objectives and appropriate learning ex-
periences. By retaining flexibility in the selection, sequencing, and timing
of objectives, the treatment program remains highly sensitive to feedback
from resultant changes and' the therapist is less inclined to invoke an
extended moratorium on behavioral modification while he searches for
the fundamental objective. Preoccupation with the accurate identification
of the core problem reflects a remnant of the revivalist view of psycho-
pathologv, according to which diverse interpersonal problems are pre-
sumed to stem from a central pathogenic experience. It is further believed
that interpretive revival and abreaction of the core trauma will result in
rapid and widely generalized personality changes.
Contrary to the latter view, investigations of the social-learning process
(Bandura & Walters, 1963) provide considerable evidence that deviant
behavior is typically controlled by diverse variables and is not generated
by a single pathogenic agent. Successful treatment therefore requires the
selection and attainment of a variety of specific objectives rather than a
single omnibus outcome. The extent to which changes in one system of
behavior affect other areas of functioning will be partly determined by
the similarity of the two systems and by the degree to which the altered
behavior brings the client into contact with new role models and with
new patterns of reinforcement.

SELECTION OF CHANGE AGENTS AM) THE LOCUS OF TREATMENT

After the goals and requisite learning experiences have been estab-
lished, another set of decisions arises in the selection of change agents
who, by virtue of their specialized training or close relationship with the
client, are best suited to implement treatment procedures. In traditional
clinical practice, changes in behavior are characteristically effected by
professional psvehotherapists in office settings, mainly through the modifi-
cation of verbal-symbolic contents. Although the decided preference for
artificial environments and symbolic substitutes for naturally occurring

events has been theoretically justified, these treatment conditions were

probably adopted more for the therapists' convenience than for any
proven therapeutic superiority. In fact, results of controlled studies dem-
onstrate that deviant behavior can be modified more thoroughly and
more expeditiously by treating actual events rather than their symbolic
equivalents (Bandura, Blanchard, & Ritter, 1968), and that change pro-
Decision Processes in the Selection of Objectives 105

grams conducted in natural settings are far superior to similar ones ad-
ministered in psychiatric institutions ( Fairweather, et al., 1969).
It follows from principles of generalization that the optimal conditions
for effecting behavioral changes,from the standpoint of maximizing trans-
would require people to perform the desired patterns of be-
fer effects,
havior successfully in the diverse social situations in which the behavior
is most appropriate. On the other hand, when treatment is primarily cen-
tered around verbal responses expressed in an invariant, atypical context
one cannot assume that induced changes will necessarily generalize to
real-life performances to any great extent.

Issues regarding the locus and content of treatment are closely linked
with the choice of change agents. From a social-learning perspective those
who have the most intensive contact with the client, if given appropriate
training, can serve as the most powerful agents of change. Their potential
efficacy derives from the fact that in such positions they exercise consider-
able control over the very conditions that regulate the behavior. Success-
ful applications of this general principle are provided in new approaches
to child therapy in which parents are utilized in the treatment of their
own (Hawkins, Peterson, Schweid, & Bijou, 1966;
children's behavior
O'Leary, O'Leary, 1967; Patterson, Ray, & Shaw, 1968; Risley &
& Becker,
Wolf, i966; Russo, 1964; Wahler, Winkel, Peterson, & Morrison, 1965;
Williams, 1959).
In a well-designed program a thorough behavioral analysis is first con-
ducted to identify the social conditions that maintain the various behavior
disorders. Next the deviant response patterns to be eliminated and the
desirable behaviors to be strengthened are clearly specified. The parents
are then given a detailed description of how they must alter their charac-
teristic ways of reacting to their child's behavior to achieve therapeutic
changes. This typically involves a reversal of parents' differential rein-
forcement practices. Whereas the child's deviant behavior previously
commanded attention and his desirable behavior received little special
notice, the parents are advised now to ignore or to reinforce negatively his
aberrant behavior and to respond positively to the forms of behavior they
wish to promote. In the case of deficit problems (Lovaas, 1966), a pro-
gram of graduated modeling is also devised, while in fear-motivated dis-
orders (Bentler, 1962) a graduated reexposure to threatening situations
isimplemented by the parents.
It should be noted in this context that attempts to modify behavior

through giving advice, have an extended history, mainly negative. Its pal-
try outcomes probably result from the nature of the advice given and from
the fact that instructions alone are of limited effectiveness unless they are
combined with other procedures that help to alter and to support parental
 .

106 VALUE ISSUES AND OBJECTIVES

behavior. Parents may understand principles of change but may have

difficulty translating them into appropriate actions. To alleviate this prob-
lem, not only treatment strategies are sketched out in considerable detail,
but initially the recommended practices are modeled by the person plan-
ning the program while parents observe the interactions. After the pro-
cedures have been adequately demonstrated and some control of the
child's deviant behavior has been achieved, the parents gradually take
over the therapeutic function. The parents are directly supervised until
they attain proficiency in handling their child's behavior without external
direction.
Detailed instructions, combined with demonstrations and supervised
practices, are effective means of instituting changes in parental behavior,
but favorable outcomes are necessary to ensure adherence to the recom-
mended practices. The problem of parental reinforcement is particularly
critical in initial stages of treatment when withdrawal of the positive con-
sequences that had been periodically evoked by the child's deviant be-
havior often produces a temporary increase in such behavior. During this
period it may be necessary to provide extensive social support to maintain
the desired parental behavior. In later phases beneficial changes in the
child serve as a natural and powerful source of reward for the parents'
efforts so that the new familial patterns become reciprocally reinforcing
and thereby At times it may be difficult for parents to
self-sustaining.
carry out the necessary programs because of social conditions, inde-
pendent of the child, that affect their behavior. Such hindrances can be
most successfully overcome by modifying the conflicting influences
impinging upon the parents.
When a child's deviant behavior is sufficiently prevalent to occur
frequently within a clinical setting, parents may gain facility through
supervised consultation sessions on treatment strategies that they can
apply at home. On the other hand, in instances where the major behav-
ioral problems are not readily reenacted at a clinic, the change process
can be most effectively initiated in the home with the parents functioning
as therapists. The feasibility of the home treatment approach has been
demonstrated by Hawkins et al. ( 1966)
Their illustrative case involved a four-year-old boy who aggressively
demanded constant attention, often behaved in a physically abusive and
belligerent manner, and generally was extremely difficult to manage.
After a baseline measurement of the incidence of hyperaggressive behav-
ior was made, the treatment program was initiated. The mother was
instructed to go about her usual household activities and whenever her
son displayed behavior that required handling, the observer would signal
one of three modes of response. Each time the boy behaved reprehensibly
the mother was advised either to tell him to stop or to place him in his
 Decision Processes in the Selection of Objectives 107

120 — Pre-experimental Second baseline Follow

baseline up

100
First Second
1 experimental experimental
period period

m 80 -
1 1
a
tt 60

E 40 -
:
/J

Figure 2-2. Number of 10-second intervals in which the boy displayed objec-
tionable behavior during each one-hour session. Hawkins et al., 1966.

room for a brief time. In contrast, when he behaved commendably the

mother was encouraged and approval. As shown in
to express interest
Figure new reinforcement practices produced a marked decrease
2-2, the
in undesirable behavior. In the next phase the mother was asked to re-
sume her original practices of chastising undesirable behaviors while
ignoring desirable ones, but she found it difficult to recapture her former
style.The therapeutic contingencies were again reinstated, and a fol-

low-up study was conducted approximately a month later in which the

mother-child interaction was observed for several sessions without any
further guidance. The overall results show not only that the mother
maintained the favorable changes in her son's behavior long after the
supervising therapist had dropped out of the picture, but that the boy
generally behaved in a more considerate and affectionate manner, which
contrasted markedly with his former indiscriminate belligerence. As
Hawkins points out, a major benefit of enlisting parents as change agents
is that, having gained facility in effective treatment methods, they can

successfully apply them to future developmental problems in a variety of

circumstances.
Although the discussion thus far has concentrated on the implementa-
108 VALUE ISSUES AND OBJECTIVES

tion of change programs by parents, the same general principles apply

when other change agents perform similar functions. The direction of
change must be defined in terms of observable behavior; the methods for
achieving these outcomes must be clearly specified and preferably
modeled; enough guidance must be provided to ensure success; and,
if necessary, special favorable consequences of carrying out the recom-

mended practices must be arranged. Behavioral approaches, as will be

shown later, use teachers, nurses, peers, and students extensively as agents
of change under the guidance of persons who possess professional knowl-
edge and competencies in principles of behavioral change. To some
extent, also, individuals are called upon to function as their own change
agents by learning how to manage contingencies and self-reinforcing
consequences in order to modify their own behavior in desired directions.
Nonprofessionals are frequently selected to implement change programs,
not just as an economical way of alleviating serious manpower shortages,
but because they are in a more advantageous position to effect better
outcomes than professionals, who may have only brief contact with the
client in an artificial setting in which the deviant behavior is infrequently
displayed. When behavior is modified in the natural social environment
by persons who normally exercise some control over the behavior, the
problems of induced changes failing to generalize or to be sustained over
time aremuch less likely to arise.
many behavioral change programs, the supervisory staff instructs
In
change agents on how to implement selected procedures but fails to
demonstrate" the desired practices or to arrange for favorable conse-
quences for their endeavors. Since new behavioral practices often require
change agents to devote increased attention to the persons whose behav-
ior is being modified and to discard old routines that had some functional
value, some resistance is to be expected. In the initial phase of a project
by Ayllon and Azrin ( 1964 ) designed to restore self-care in chronic
schizophrenics it was noted, for example, that hospital attendants often
failed to put the designated procedures into effect even though they had
repeatedly been instructed to do so. Only after the attendants were pro-
vided feedback about their own performances and social consequences
for their own behavior did they faithfully carry out the prescribed pro-
gram.
The change agents are reinforced and maintained to some
efforts of
extent by from favorable changes in the
positive experiences resulting
behavior of their clients. In fact, some investigations (Hawkins et al.,
1966; Wahler & Pollio, 1968) have encountered difficulties in employing
the intrasubject replication design to dramatize the functional relation-
ships between behavior and its consequences because, after experiencing
the benefits from the behavioral changes they produced in their children,
the parents were exceedingly reluctant to revert to their former reinforce-
Decision Processes in the Selection of Objectives 109

ment practices. However, when the required treatment conditions are

difficult to create and to sustain, when the rate of improvement is rela-
tively slow or evidence of progress has weak reinforcing value, it is desira-
ble to provide adequate rewards for change agents as well. For example,
toenhance the performance of remedial instructors. Wolf, Giles, and Hall
(1968) created a bonus monetary contingency that was linked to their
students' productivity. The provision of appropriate supports for the
agent's behavior, which is change programs,
a critical aspect of behavioral
is usually given little attention, with the
consequence that essential pro-
cedures are halfheartedly or only sporadically applied. Any temporary
suspension of contingencies, particularly in initial phases of a program,
usually results in intermittent reinforcement of the undesired behavior.
Therefore, treatment programs should not be attempted unless the
appropriate contingencies will be systematically applied.

ETHICAL ISSUES IX SOCIAL AND CULTURAL CHANGE

Most of the preceding discussion of goal selection was primarily con-

cerned with the achievement of behavioral changes on an individual
basis. It is generallv acknowledged that many of the problems confront-
ing a society cannot be solved at an individual level but necessitate
changes in entire social systems.
A variety of situations in which new contingencies are introduced on
a society-wide basis raise important questions about the morality and
decision processes guiding instituted changes. In cases involving wide-
spread deviant behavior, such as delinquencv or prevalent deficit condi-
tions resulting from impoverished environments, major social changes are
required for rehabilitation. For example, attempts to reduce the inci-
dence of antisocial behavior bv treating individual members who happen
to be apprehended is a futile endeavor. Group problems demand group
solutions. Xew social environments involving appropriate contingencies,
role models, and incentives, must be created if constructive modes of
behavior are to be established and normatively sanctioned.
As knowledge accumulates about the causes and consequences of
different social patterns and efficacious principles of behavioral change
are further developed, a society gains the means not only of preventing
the development of major social problems but also of realizing its
avowed aims. Preventive programs and improved systems of social life
entail new social practices, some of which may clash with the ideologies
and traditions of various interest groups. Ethical controversies, therefore,
inevitably arise over the types of social changes advocated as well as the
methods by which the}' are to be achieved.
The value conflicts resulting from intrasocietal pressures for change
occur on a much broader scale in cross-cultural ventures in which one
society strives to introduce new 7
patterns of behavior into other societies
110 VALUE ISSUES AND OBJECTIVES

occupying subordinate positions. In many cases advocated changes in-

volving preventive medical practices, reorganization of economic and
agricultural systems, creation of educational programs, and introduction
of technologies that release people from demeaning labor have the poten-
tialitv for enriching social life and enhancing: human freedom. Although
the changes may have beneficial outcomes, they often require radical
modifications of established beliefs and ways of living and are therefore
understandably opposed. Moreover, intersocietal attempts at influence
typically involve the export not onlv of better means of achieving cultural
aims, but also of new ideologies and ultimate ends themselves. It is pri-
marily the imposition of new moral standards, some of which may be
dysfunctional in the foreign setting, and the external prescription of how
people within another culture should five their lives, that give rise to
ethical concerns.
The decision processes and value issues involved in the selection of
group goals are. in many respects, similar to those that operate at the
individual level. First, it is necessary to decide what social objectives
from among a variety of alternatives shall be pursued. The major question
here is whether the authority for goal selection resides in a political or
technological elite or is determined through informed collaborative par-
ticipation of those whose lives will be affected bv whatever policies are
adopted. If one seriously subscribes to the value of group determination
of social objectives, then more attention must be given to developing
optimal methods for clarifying the consequences associated with different
value choices, for ascertaining collective preferences, and for resolving
conflicts among different interest groups. In addition, adequate safeguards
and social supports must be provided for warranted attempts at personal
influence of social policies. Looking into the not-too-distant future. Hof-
stadter (1967'. for example, envisions the use of computer technology.
in which individual voting devices are connected to computers which
assemble data almost instantaneously, to permit greater individual par-
ticipation in society's decision-making whenever feasible.
Under extensive bureaucratization, which effectively obscures deci-
sion-making responsibilities, most people come to feel that they can exert
little positive control over their environment. Consequently they are

inclined to respond with grudging acquiescence to major social changes

that are often guidedbv economic considerations, slide rule decrees, and
political expedience. Persons who are more actively inclined are often
thwarted bv the lack of readily accessible means of affecting decisions
about the cultural priorities that should be promoted. However, the
recent years have witnessed vigorous demands, particularly among the
younger members of society, for a greater role in making decisions that
affect the course and quality of their fife.
Summary 111

Value conflicts arise not only in formulating common goals, but also
in selecting methods for inducing preferred changes. In one way or an-
other decisions aremade about how much social objectives are advanced
through coercive methods, through positive reinforcement of appropriate
behaviors, or through provision of models for emulation who exemplify
the desired behavioral patterns.
The notion of planned social change is likely to arouse in people's
minds negative associations of regimentation, invasion of privacy, and
curtailment of self-determination. In fact, as Benne (1949) and Mann-
heim (1941) have cogently argued, collectively planned social change,
rather than being anti-individualistic, generally safeguards and extends
human freedom. The need for social planning stems from the fact that, in
many areas of behavioral functioning, people's outcome experiences are
jointly determined by each other's actions. Thus if motorists did not have
the benefit of traffic codes they would repeatedly obstruct and injure one
another, whereas agreeing to a few sensible regulations greatly enhances
their personal welfare and freedom of movement. Without some social
controls over human behavior, personal freedoms would be continuously
in jeopardy. Paradoxically, zealous individualists often attack the very
social institutions that are established to protect freedom of self-expres-
sion.
Problems of dysfunctional restraints often occur when social control is

unwisely extended to areas of functioning that do not involve inter-

dependent consequences to any significant degree. Unconventional be-
liefs, stylesof living, and personal habits may be negatively sanctioned
even though these activities, apart from their minor irritant value, rarely
affect the welfare of others. Such pressures toward the standardization of
life do constitute threats to personal freedom.

Summary
One of the major obstacles to the development of effective change
programs arises from the failure to specify precisely what is to be accom-
plished, or the more common practice of defining the intended goals in
terms of hypothetical internal states. When the aims remain ambiguous,
learning experiences are haphazard, and whatever procedures are con-
sistently appliedtend to be determined more by personal preferences of
change agents than by clients' needs.
The appropriate methods and learning conditions for any given pro-
gram of behavioral change cannot be meaningfully selected until the
desired goals have been clearly defined in terms of observable behavior.
Rapid progress is further assured by designating intermediate objectives,
which delineate optimal learning sequences for establishing the compo-
112 VALUE ISSUES AND OBJECTIVES

nent behaviors of more complicated social performances. The necessity

for behavioral specification of objectives is most clearly illustrated in the
case of complex patterns of behavior which cannot be achieved with any
degree of success until they are analyzed into essential constituent func-
tions.
The selection of goals involves value choices. To the extent that people
assume major responsibility for deciding the direction in which their
behavior ought to be modified, the frequently voiced concerns about
human manipulation become essentially pseudo issues. The change
agent's role in the decision process should be primarily to explore alterna-
tive courses of action available, and their probable consequences, on the
basis of which clients can make informed choices. However, a change
agent's value commitments will inevitably intrude to some degree on
the goal selection process. These biases are not necessarily detrimental,
provided clients and change agents subscribe to similar values and the
change agent identifies his judgments as personal preferences rather than
purported scientific prescriptions. Much more serious from an ethical
standpoint is the unilateral redefinition of goals by which psychotherapists
often impose insight objectives (which mainly involve subtle belief con-
versions) upon persons desiring changes in their behavioral functioning.
Behavioral problems of vast proportions can never be adequately
eliminated on an individual basis but require treatment and prevention
at the social systems level. As behavioral science makes further progress
toward the development of efficacious principles of change, man's capac-
ity to create the type of social environments he wants will be substan-
tially increased. The decision processes by which cultural priorities are
established must, therefore, be made more explicit to ensure that "social
engineering" is utilized to produce living conditions that enrich life and
behavioral freedom rather than aversive human effects. Control over value
choices at the societal level can be increased by devising new systems of
collective decision-making which enable members to participate more
1

directly in the formulation of group objectives.

In discussions of the ethical implications of different modes of achiev-
ing personality changes, commentators often mistakenly ascribe a nega-
tive morality to behavioral approaches, as though this were inherent in
the procedures. Social- learning theorv is not a system of ethics; it is a
system of scientific principles that can be successfully applied to the
attainment of any moral outcome. In actuality, because of their relative
efficacy, behavioral approaches hold much greater promise than tradi-
tional methods advancement of self-determination and the fulfill-
for the
ment of human capabilities. If applied toward the proper ends, social-
learning methods can quite effectively support a humanistic morality.
References 113

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CHAPTER 3 Modeling
and Vicarious Processes

One of the fundamentalmeans by which new modes of behavior

arc acquired and existing patterns are modified entails modeling and vi-
carious processes. Indeed, research conducted within the framework of
social-learning theory (Bandura, 1965a; Bandura & Walters, 1963) dem-
onstrates that virtually all learning phenomena resulting from direct
experiences can occur on a vicarious basis through observation of other
persons' behavior and its consequences for them. Thus, for example, one

can acquire intricate response patterns merely by observing the perform-

ances of appropriate models; emotional responses can be conditioned
observationally by witnessing the affective reactions of others undergoing
painful or pleasurable experiences; fearful and avoidant behavior can be
extinguished vicariously through observation of modeled approach behav-
ior toward feared objects without any adverse consequences accruing to
the performer; inhibitions can be induced by witnessing the behavior of
others punished; and, finally, the expression of well-learned responses can
be enhanced and socially regulated through the actions of influential
models. Modeling procedures are, therefore, ideally suited for effecting
diverse outcomes including elimination of behavioral deficits, reduction of
excessive fears and inhibitions, transmission of self-regulating systems,
and social facilitation of behavioral patterns on a group-wide scale.
Vicarious phenomena are generally subsumed under a variety of terms.
Among those in common usage are "modeling," "imitation," "observa-
tional learning," identification," "copying," "vicarious learning," "social
facilitation," "contagion," and "role-playing." In personality theory iden-
tification has been most frequentlv differentiated from imitation on the
assumed basis that imitation involves the reproduction of discrete re-
sponses, whereas identification involves the adoption of either diverse pat-
Modeling and Vicarious Processes 119

terns of behavior (Kohlberg, 1963; Parsons, 1955; Stoke, 1950), symbolic

representations of the model (Emmerich, 1959), or similar meaning sys-
tems Lazowick, 1955 ) Sometimes the distinction is made in terms of dif-
( .

ferential antecedent or maintaining conditions as illustrated by Parsons'

(1951) view that "a generalized cathectic attachment" is a prerequisite
for identification but
is unessential or absent in the case of imitation.

Kohlberg ( 1963 ) on the other hand, reserves the term "identification" for
,

matching behavior that is presumed to be maintained by the intrinsic re-

inforcement of perceived similarity, and employs the construct "imitation"
for instrumental responses supported by extrinsic rewards. Others define
imitation as matching behavior occurring in the presence of the model,
reserving identification for performance of the model's behavior in the
larter's absence (Kohlberg, 1963; Mowrer, 1950). Not only is there little

consensus with respect to differentiating criteria, but some theorists as-

sume that imitation produces identification, whereas others contend, with
equally strong conviction, that identification results in imitation.
Unless it can be shown that vicarious learning of different classes of
matching behavior is governed by separate variables, distinctions pro-
posed in terms of the types of emulated responses not only are gratuitous
but also cause unnecessary confusion. Limited progress would be made in
elucidating behavioral change processes if, for example, fundamentally
different learning mechanisms were invoked, without adequate empirical
basis, to account for the acquisition of one social response versus ten in-
terrelated social responses that are arbitrarily designated as various as-
pects of a given role. Results ofnumerous studies to be reviewed later
demonstrate that the acquisition of isolated matching responses and of
entire behavioral repertoires is, determined by the same types
in fact,
of antecedent conditions. Further, retention and delayed reproduction of
even discrete matching responses require representational mediation of
modeling stimuli. There is also little reason to suppose, either on empiri-
cal or theoretical grounds, that the principles and processes involved in
the acquisition of matching responses that are performed in the presence
of models are different from those later performed in their absence. In-
deed, if the diverse criteria enumerated above were seriously applied,
either singly or in various combinations, in categorizing modeling out-
comes, most instances of matching behavior that have been traditionally
labeled imitation would qualify as identification, and much of the natural-
istic data cited as evidence of identificatory learning would be reclassified

as imitation.
It is possible, of course, to draw distinctions among numerous descrip-
tive terms based on antecedent, mediating, or behavioral variables. One
might question, however, whether it is advantageous to do so, since there
is every indication that essentially the same learning process is involved
120 MODELING AND VICARIOUS PROCESSES

regardless of the generality of what is learned, of the models from whom

the response patterns are acquired, and of the stimulus conditions under
which matching behavior is subsequently performed.

THREE EFFECTS OF MODELING INFLUENCES

To elucidate vicarious influences it is essential to distinguish among
different types of behavioral modifications resulting from exposure to
modeling stimuli, but the differentiation must be made in terms of more
fundamental criteria than those discussed above. There is abundant evi-
dence (Bandura, 1965a; Bandura & Walters, 1963) that exposure to mod-
eling influences has three clearly different effects, each of which is deter-
mined by a separate set of variables. First, an observer may acquire new
response patterns that did not previously exist in his behavioral reper-
toire. In demonstrating this observational learning or modeling effect

experimentally, it is necessary for a model to exhibit novel responses

which the observer has not yet learned to make and which he must later
reproduce in a substantially identical form. Any behavior that has a very
low or zero probability of occurrence in the presence of appropriate
stimuli qualifies as a novel response.
Second, observation of modeled actions and their consequences to the
performer may strengthen or weaken inhibitory responses in observers.
These inhibitory and disinhibitory effects are evident when the incidence
of imitative and nonmatching behavior is increased, generally as a func-
tion of having witnessed a model experience positive outcomes, and de-
creased by having observed a model undergo punishing consequences.
Third, the behavior of others often serves merely as discriminative
stimuli for the observer in facilitating the occurrence of previously learned
responses in the same general class. This response facilitation effect can
be distinguished from disinhibition and modeling by the fact that no new
responses are acquired; disinhibitory processes are not involved because
the behavior in question is socially sanctioned and, therefore, has rarely,
if ever, incurred punishment.A simple example of social facilitation is
provided in situations where a person gazes intently into a display win-
dow and passersby respond in a similar manner. In the following sections
the variables and mediating processes governing these diverse modeling
phenomena will be discussed at length. The ways in which modeling in-
fluences can be successfully used to effect individual and broader social
changes will also be reviewed.

Theoretical Conceptions of Observational Learning

The earliest formulations, dating back to Morgan (1896), Tarde (1903),

and McDougall (1908), regarded modeling as an innate propensity. These
instinctual interpretations dissuaded empirical investigations of the con-
Theoretical Conceptions of Observational Learning 121

ditions under which modeling occurs; and because of the vehement reac-
tions against the instinct doctrine, until recently even the phenomena
subsumed under the concept tended to be either repudiated or widely
ignored in theoretical explanations of learning processes.

ASSOCIATIVE AND CLASSICAL CONDITIONING THEORIES

As the instinct doctrine fell into disrepute, a number of psychologists,

notably Humphrey(1921), Airport (1924), and Holt (1931), accounted
for modeling behavior in terms of associative principles. Temporal con-
tiguity between modeling stimuli and the imitator's matching response
was considered to be a sufficient condition for the occurrence of imitation.
According to Holt's conceptualization, for example, when an adult copies
the response of a child, the latter tends to repeat the reiterated behavior,
and as this circular associative sequence continues, the adult's behavior
becomes an increasingly effective stimulus for the child's responses. If,
during this spontaneous mutual imitation, the adult performs a response
that is novel for the child, the latter will copy it. Piaget (1952) likewise
depicted the modeling process as one in which the imitator's spontaneous
behaviors serve initially as stimuli for matching responses by the model in
alternating imitative sequences. Allport also viewed modeling phenomena
as instances of classical conditioning of verbalizations, motor responses,
or emotions to matching social stimuli with which they have been con-
tiguously associated.
The various associative theories isolated one of the conditions under
which modeling cues may acquire eliciting functions for matching re-
sponses that already exist in the imitator's behavioral repertoire. These
theories failed to explain, however, the psychological mechanisms gov-
erning the acquisition of novel responses during the model-observer in-
teraction sequence. Moreover, demonstrations of observational learning in
humans and animals do not ordinarily commence by having a model re-
produce semi-irrelevant responses of the learner. In using modeling pro-
cedures to teach a mynah bird to talk, for example, the trainer does not
engage initially in circular crowing behavior; rather, he begins by saying
what he wishes to teach, which expressions clearly do not exist in inte-
grated form in the bird's vocal repertoire.

REINFORCEMENT THEORIES
With the advent of reinforcement principles, theoretical explanations
of learning shifted the emphasis from classical conditioning to instrumen-
tal response acquisition based on reinforcing outcomes. Theories of mod-

eling phenomena similarly assumed that the occurrence of observational

learning contingent upon reinforcement of imitative behavior. This
is

point of view was most clearly expounded by Miller & Dollard (1941) in
the classic publication, Social Learning and Imitation. According to this
122 MODELING AND VICARIOUS PROCESSES

formulation, the necessary conditions for learning through modeling in-

clude a motivated subject who is positively reinforced for matching the
correct responses of a model during a series of initially random, trial-and-
error responses.
The experiments conducted byMiller and Dollard involved a series of
two-choice discrimination problems, in which a trained leader responded
to environmental stimuli that were concealed from the subject so that he
was dependent solely upon the cues provided by the model's behavior.
The leader's choices were consistently rewarded and the observing sub-
ject was similarly reinforced whenever he matched these choice responses.
This form of imitation was labeled by the authors "matched-dependent"
behavior, because the subjects relied on the leader for relevant cues, and
matched his responses. Based on this paradigm, it was shown that sub-
jects readily learn to follow their respective models, and generalize copy-
ing responses to new situations, to new models, and to different motiva-
tional states.
While these experiments have been widely accepted as demonstrations
of imitative learning, they in fact represent only the special case of dis-
crimination place-learning, in which the behavior of others provides dis-
criminative stimuli for responses that already exist in the subject's behav-
ioral repertoire. Indeed, had the relevant environmental cues been made
more distinctive, the behavior of the models would have been quite irrele-

vant, and perhaps even a hindrance, to the acquisition process. By con-

trast, most forms of imitation involve responses rather than place-learning,

in which subjects combine behavioral elements into new compound re-

sponses solely by observing the performance of social models, without
any opportunity to perform the model's behavior at the time of exposure
and without any reinforcers administered either to the models or to the
observers (Bandura, 1965a). In the latter instance, modeling cues consti-
tute an indispensable aspect of the learning process. Moreover, since the
reinforcement paradigm for observational learning requires the subject to
perform the imitative response before he can learn it, the theory advanced
by Miller and Dollard evidently accounts more adequately for the per-
formance of previously learned matching responses than for their acqui-
sition. Continuing with the example of language learning, in order for a

mynah bird to learn the word "reinforcement" imitatively, it would first

have to utter the word "reinforcement" in the course of random vocaliza-
tion, match it accidentally with the trainer's verbal responses, and secure
a positive reinforcement. The conditions that Miller and Dollard assumed
to be necessary for imitative learning severely limit the types of behavioral
changes that can be attributed to the influence of social models.
The Skinnerian analysis of modeling phenomena (Baer & Sherman,
1964; Skinner, 1953), which is similar in many respects to the one origi-
Theoretical Conceptions of Observational Learning 123

nally advanced by Miller and Dollard, also specifies reinforcement as a

necessary condition for observational learning. In this approach modeling
is treated as a form of stimulus matching in which a person matches the

stimulus pattern generated by his own responses to the appropriate mod-

eling cues. The presumably achieved through a
stimulus duplication is

process of differential reinforcement. When matching behavior has been

positively reinforced and divergent responses either nonrewarded or pun-
ished, the behavior of others comes to function as discriminative stimuli
for reinforcement in controlling social responsiveness.
More Gewirtz & Stingle (1968) have conceptualized mod-
recently,
eling as analogous to the matching-to-s ample paradigm used to studv dis-
crimination learning. In this procedure a subject chooses from among a
number of comparison stimuli one that shares a common property with
the sample stimulus. Although modeling and matching-to-sample per-
formances have some likeness in that both involve a matching process,
they can hardly be equated. A person can achieve errorless choices on
matching comparison operatic arias with a sample Wagnerian recital, but
remain totally unable to perform the vocal behavior exhibited in the sam-
ple. Accurate stimulus discrimination is a precondition for, but not equiv-
alent with, observational response learning. The major controversy among
theories ofmodeling centers around the question of what are the neces-
sary and sufficient conditions for the acquisition of new responses on an
observational basis.
Under naturalistic conditions the behavior exhibited by models is
typically reproduced in the absence of direct reinforcement. Consequently,
theories that assume that some form of reinforcement is necessary for
learning tend to invoke an intrinsic source of reinforcement. It is assumed
that if accurate reproduction of modeling stimuli is consistently rewarded,
behavioral similarity per se acquires secondary reinforcing properties.
Thereafter a person will tend to display a high incidence of precisely
imitative actions, which, because of their acquired reward value, will be
strengthened and sustained even though the} 7
may never be externally
reinforced.
Baer and his colleagues have conducted several experiments designed
to demonstrate intrinsic reinforcement control of generalized imitation.
In one study (Baer & Sherman, 1964) three imitative responses (head-
nodding, mouthing, and novel verbalizations) were established in young
children by from a puppet who had explicitly in-
social reinforcement
structed the subjects to modeled behavior. For a subgroup of
match his
children who showed an increase in imitative responding the puppet dis-
played nonreinforced bar-pressing interspersed among the other three re-
warded matching responses. Under these conditions some of the children
imitated bar-pressing in varying amounts even though this particular re-
 )

124 MODELING AND VICARIOUS PROCESSES

sponse was never positively reinforced. In order to further demonstrate

the dependence of generalized imitation on direct reinforcement of other
matching responses, social approval for imitative head-nodding, mouthing
and novel verbalizations was discontinued with two subjects. This extinc-
tion procedure resulted in decreased imitative bar-pressing inone of the
two children; when reinforcement of the other three modeling responses
was reinstated, imitative bar-pressing also reappeared.
The frequent references to the above stud}- as providing evidence for
the self-reinforcing function of response similarity overlook the fact that,
even under explicit demands, the imitative behavior of one-third of the
children was completely unaffected bv the reinforcement operations, and
that approximately half of the remaining children whose data are re-
ported showed increments in reinforced imitative behavior but failed to
perform the nonreinforced modeled response to any significant degree.
Since reinforcement exerted no clearly predictable effects on the occur-
rence of generalized imitation it must have been largely determined by
other unmeasured and uncontrolled variables.
Using similar reinforcement procedures with social models and more
powerful incentives, Baer. Peterson. & Sherman (1967") were able to
establish generalized imitativeness in three severely retarded children
who initially displayed a very low level of matching behavior (see Figure
3-1 V After an extensive period of imitation-contingent reinforcement had
markedly increased imitative behavior in these children (sessions 1-14),
some matching responses could be effectively maintained without rein-
forcement bv randomly interspersing them among positively reinforced
imitations (sessions 15-26). However, both types of imitative responses
rapidlv declined when social approval and food were given to the chil-
dren on a temporal basis rather than contingent upon imitative behavior
(sessions 27-31 . It was further shown that both types of matching re-
sponses could be quicklv restored to their previously high level by rein-
troduction of response-contingent reinforcement sessions 32-38).
has been similarly demonstrated that schizophrenic children could
It

acquire and maintain Norwegian words imitatively without any reinforce-

ment (Lovaas, Berberich. Perloff. & Schaeffer. 1966 >, and preschool chil-

dren imitated nonreinforced Russian words (Brigham 6c Sherman. 196S

as long as the children were rewarded for English words when correctly
reproduced.
Although a generalized disposition to imitate the behavior of others
can be developed bv having different persons reinforce diverse types of
responses in a variety of situations, this fact does not necessarily demon-
strate that reinforcing properties inhere in behavioral similarity. If this
were in fact the governing mechanism, matching responses would not
undergo abrupt and marked extinction see Figure 3-1 ) the moment that
{
 Theoretical Conceptions of Observational Learning 125

100 r Reinforced imitation •-

Non- reinforced imitation «"

50

•4 15 25 35
Sessions

Figure 3-1. Percentage of reinforced and nonreinforced modeled responses re-

produced by a child during periods when rewards were made contingent upon
the occurrence of matching responses or upon the passage of a given period
of time (DRO). Baer, Peterson, & Sherman, 1967.

reinforcement for the larger subclass of imitative responses is withdrawn,

since one would not expect similarity cues to lose their rewarding value
that suddenly. Rather, the intrinsic rewards arising from precise response
duplication should sustain imitative behavior forsome time even in the
absence of externally administered reinforcers. Studies including more
extensive variations in incentive conditions, indeed, show that generalized
imitation is under incentive control rather than its inherently re-
largely
warding value. Berkowitz (1968) found that retarded children who were
rewarded for imitative responses only at the end of the experimental ses-
sion displayed a high rate of matching behavior as long as the food re-
wards were present in the room. During sessions when food was not
displayed, imitation dropped significantly; it was promptly re-established
by introducing the sight of food.
It should be noted that the laboratory phenomenon that has been la-
beled "generalized imitation" involves only imitation across responses
under conditions where subjects are instructed to repeat the experiment-
er's behavior. A more stringent test of generalized imitation would in-
126 MODELING AND VICARIOUS PROCESSES

elude different models performing different responses in different social

situations.An alternative explanation for this limited form of generalized
modeling can be offered in terms of discrmination rather than secondary
reinforcement processes. When a few nonrewarded, modeled responses
are randomly distributed in a large number that are consistently rein-
forced, the two sets of responses cannot easily be distinguished and are
therefore likely to be performed with similar frequency. If, on the other
hand, the discriminative complexity of the modeling task were reduced
by having the model portray a series of reinforced responses, followed
by the set of readily discriminable responses that are never reinforced,
the observer would eventually recognize that the latter responses never
produce positive outcomes and he would, in all likelihood, stop reproduc-
ing them. A discrimination hypothesis thus leads to a prediction which is
that derived from the principle of secondary reinforcement. According to
the acquired-reward interpretation, the longer imitative responses are pos-
itively reinforced, the more strongly behavioral similarity is endowed
with reinforcing properties and, consequently, the greater should be the
resistance to extinction of unreinforced matching responses. In contrast,
a discrimination hypothesis would predict that the longer the differential
reinforcement practices are continued, the more likely the observer is to
distinguish between rewarded and unrewarded imitative behaviors, with
resulting rapid decline of unrewarded imitative responses.
The occurrence of generalized modeling is also probably determined
in part by the invariant conditions under which laboratory tests are con-
ducted. Reinforced and unreinforced responses are typically exhibited by
the same model, in the same social setting, during the same period of
time, and after subjects have been explicitly instructed to behave imita-
tivelv. On the other hand, under natural conditions, which are highly

variable and more easily distinguishable, there appears to be considerable

specificity to modeling behavior. If matching responses do, in fact, auto-
matically produce self-reinforcing effects, then people should display
widespread reproduction of all types of behavior modeled by children,
barbers, policemen, delinquents, professors and others. Actually, people
tend to be selective in what the)' reproduce, suggesting that imitative per-
formance is primarily governed by its utilitarian value rather than by
inherent reinforcement derived from response similarity per se. In other
words, the theory of generalized imitation explains more than has ever
been observed. The issue would appear to be one of regulated perform-
ance rather than learning, since people do know how to match the behav-
ior of others. Performance is primarily a function of anticipated outcomes
which, in turn, are partly determined by the degree of similarity between
new situations and past situations in which particular responses have been
reinforced.
Theoretical Conceptions of Observational Learning 127

Important treatment implications follow from the interpretations of

generalized modeling, since in both cases the goal is to establish model-

ing tendencies that will not be restricted to the treatment setting but will
generalize to other, more natural settings. On the basis of a secondary
reinforcement hypothesis, the treatment program should include consid-
erable imitation training under a generous schedule of reinforcement.
The assumption made is that the more reinforcement a person experiences
for behavioral matching, the more reinforcing it will become for him to
imitate in any situation. On the basis of a discrimination hypothesis, on
the other hand, theprogram would involve only as much reinforcement
as necessary to establish matching behavior, which would then be re-
is

warded by different people in a variety of situations. Generalization is

not assumed to occur automatically; it must be built into the treatment

program.
The Skinnerian analysis of modeling phenomena relies entirely upon
the standard three-component paradigm S d -» R -» S r where S d denotes
,

the discriminative modeled stimulus, R represents an overt matching re-

sponse, and S r designates the reinforcing stimulus. It is difficult to see
how this scheme is applicable to observational learning in which an ob-
server does not overtly perform the model's responses during the acqui-
sition phase, reinforcers are not administered either to the model or to
the observer, and the first appearance of the acquired response may be
delayed for days, weeks, or even months. In the latter case, which repre-
sents one of the most prevalent forms of social learning, two of the events
(R—> Sr ) in the three-term paradigm are absent during acquisition, and
the third element ( S d or modeling stimulus ) is typically absent from the
situation in which the observationally learned response is performed. Like
the Miller and Dollard theory, the Skinnerian interpretation of modeling
phenomena accounts satisfactorily for the control of previously learned
matching responses by their stimulus antecedents and their immediate
consequences. However, it fails to explain how a new matching response
is acquired observationally in the first place. This occurs through covert,
symbolic processes during the period of exposure to modeling stimuli,
prior to overt responding or to appearance of any reinforcing events. In-
deed, had the children in the experiment by Baer & Sherman been
tested for vicarious learning immediately after the model had demon-
strated the four critical responses, they could probably have reproduced
the modeled repertoire without undergoing any imitation-contingent
reinforcement. As will be shown later, observational learning entails sym-
bolic coding and central organization of modeling stimuli, their represen-
tation in memory, in verbal and imaginal codes, and their subsequent
transformation from symbolic forms to motor equivalents. Because of the
inferential nature of these basic processes, functional behaviorists are in-
128 MODELING AND VICARIOUS PROCESSES

clined to consider them of limited scientific interest. However, modeling

phenomena must be analyzed in terms not only of response-selection vari-
ables but also of their mediational determinants before the necessary and
sufficient conditions for modeling can be specified accurately.
In evaluating the role of reinforcement in modeling processes, it is
essential to distinguish between response acquisition and performance
because these events are determined by different variables. Numerous
investigations, differing considerably in the choice of incentives, types of
matching responses, and age -of the subjects, have shown that performance
of matching responses is substantially increased by rewarding such be-

havior in either the model ( Bandura, 1965a; Kanfer, 1965; Parke & Wal-
ters, 1967 ) or the subjects ( Kanareff & Lanzetta, 1960; Lanzetta & Kana-

reff, 1959; Mctz, 1965; Schein, 1954; Wilson & Walters, 1966); whereas

imitative responsiveness is reduced by direct or vicarious punishment.

However, results of an experiment bearing on the learning-performance
distinction lend support to the theory that the acquisition of matching
responses results primarily from stimulus contiguity and associated sym-
bolic processes, whereas the performance of observationallv learned re-
sponses will depend to a great extent upon the nature of reinforcing con-
sequences to the model or to the observer.
In this study (Bandura, 1965b), children observed a filmed model
who exhibited a sequence of novel physical and verbal aggressive re-
sponses. In one treatment condition the model was severely punished
1

following the display of aggressive behavior; in the second, the model was
generously rewarded with delectable treats and lavish praise; the third
condition presented no response consequences to the model. A post-expo-
sure performance test of imitation revealed that the reinforcement con-
tingencies applied to the model's responses resulted in differential degrees
of matching behavior. Compared to subjects in the model-punished con-
dition, children in themodel-rewarded and the no-consequence groups
spontaneously performed a significantly greater variety of imitative re-
sponses. Moreover, bovs reproduced substantially more of the model's
behavioral repertoire than girls, the differences being particularly marked
in the model-punished treatment (Figure 3-2).
Following the performance test, children in all three groups were of-
fered highly attractive incentives contingent upon their reproducing the
model's responses in order to promote performance of what they had ac-
quired through observation. As shown in Figure 3-2, the introduction of

positive incentives completely eliminated the previously observed per-

formance differences, revealing an equivalent amount of learning among
children in the model-rewarded, model-punished, and no-consequences
conditions. Similarly, the initially large sex differential, which in similar
Theoretical Conceptions of Observational Learning 129

Positive incentive

No incentive

o 4

ai 3
DC

I 2
Q

Boys Girls Boys Girls Boys Girls

Model Rewarded Model Punished No Consequences

Figure 3-2. Mean number of different matching responses reproduced by chil-

dren as a function of response consequences to the model and positive incen-
tives. Bandura, 1965b.

studies has been typically interpreted as reflecting a deficit in masculine-

role identificationby girls, was virtually eliminated.
Findings of the foregoing experiment, and others reviewed later, sug-
gest that the behavior analysis advocated by proponents of the Skinnerian
approach might further advance understanding of modeling processes if
it were separated into a learning analysis and a performance analysis. The

learning analysis is concerned with the manner in which variables oper-

ating at the time of exposure to modeling stimuli determine the degree to
which the modeled behavior is learned. The performance analysis, on the
other hand, is concerned with factors governing persons' willingness to
perform what they have learned.
Although there is ample evidence that reinforcing consequences can
significantly alter the probability of future occurrence of preceding match-
130 MODELING AND VICARIOUS PROCESSES

ing responses, consequent events can hardly serve as a precondition for

the acquisition of responses that have already been performed. The major
issue of whether reinforcement is a prerequisite for observational learn-
ing can be most definitively resolved by the use of infrahuman subjects
whose reinforcement history can be controlled. In a preliminary study,
Foss (1964) found that birds will imitate unusual sound patterns played
on a tape recorder in the absence of any prior reinforcement of matching
responses. In human learning, under conditions where incentives are re-
peatedly given to a model as he displays an ongoing series of responses,
observation of reinforcing outcomes occurring early in the sequence
might be expected to increase the observer s vigilance in respect to sub-
sequently modeled behavior. The anticipation of positive reinforcement
for matching responses by the observer may, therefore, indirectly influ-
ence the course of observational learning by enhancing and focusing ob-
serving responses.

AFFECTIVE FEEDBACK THEORY

Mowrer's (1960) sensory feedback theory of imitation similarly high-

lights the role ofreinforcement but, unlike the preceding approaches
which reduce imitation to a special case of instrumental learning, Mowrer
emphasizes the classical conditioning of positive and negative emotions
accompanying reinforcement to stimuli arising from matching responses.
Mowrer distinguishes two forms of imitative learning in terms of whether
the observer is reinforced directly or vicariously. In the former case, the
model performs a response and at the same time rewards the observer.
Through repeated contiguous association of the model's behavior with
rewarding experiences, these responses gradually take on positive value
for the observer. On the basis of stimulus generalization, the observer can
later produce self-rewarding feedback experiences simply by reproducing
as closely as possible the model's positively valenced behavior.
In the second or "empathetic" form of imitative learning, the model
not only exhibits the response but also experiences the reinforcing conse-
quences. It is assumed that the observer, in turn, experiences empatheti-
cally the sensory concomitants of the model's behavior, and also intuits
his satisfactions or discomforts. As a result of this higher-order vicarious
conditioning, the observer will be predisposed to reproduce the matching
responses for the attendant positive sensoiy feedback.
There is substantial evidence ( Bandura & Huston, 1961; Grusec, 1966;
Henker, 1964; Mischel & Grusec, 1966; Mussen & Parker, 1965) that mod-
eling can be augmented by increasing the rewarding qualities of a model
or by having the observer witness the model experience rewarding out-
comes. These same studies, however, contain some contradictory findings
Theoretical Conceptions of Observational Learning 131

with regard to the affective feedback theory. Even though a model's re-
warding qualities are equally associated with the different types of be-
haviors he performs, modeling effects nevertheless tend to be specific
rather than general. That is, model nurturance enhances the reproduction
of some responses, has no effect upon others, and may actually diminish
the adoption of still others (Bandura, Grusec & Menlove, 1967a). A lim-
ited study by Foss (1964), in which mynahs were taught unusual whis-
tles played on a tape recorder, also failed to confirm the proposition that

modeling is enhanced through positive conditioning. His mynahs imitated

different sounds to the same extent whether they were played in the ab-
sence of any reinforcement or only when the birds were being fed. It
should be noted, however, that neither the Foss study nor the experiments
cited earlier employed the type of temporal relationship between model-
ing cues and the administration of rewards that would be considered
optimal for endowing the modeled events with affective valence.
In an elaboration of the affective feedback theory of imitation, Aron-
freed (1968) has advanced the view that pleasurable and aversive affec-
tive states become conditioned to cognitive templates of a model's behav-
ior. Imitative performances are presumed to be controlled by affective

feedback from intentions and from proprioceptive cues generated during

the performance of an overt act. This conceptualization of imitation is
difficult to verify empirically because it does not specify in sufficient de-

tail the characteristics of templates, the process through which cognitive

templates are acquired, the manner in which affective valences become

conditioned to templates, or how the emotion-arousing properties of tem-
plates are transferred to intentions and to proprioceptive cues intrinsic to
overt responses. There is some experimental evidence, however, that has
important implications for the basic assumptions of feedback notions.
Feedback on controlling
theories, particularly those that partly rely
by findings of
functions of proprioceptive cues, are seriously challenged
curare-conditioning experiments in which animals are skeletally immobi-
lized during aversive conditioning or extinction. These studies (Black,
1958; Black, Carlson, & Solomon, 1962; Solomon & Turner, 1962) demon-
strate the occurrence of learning phenomena in the absence of skeletal
responding and its correlated proprioceptive feedback. Results of deaf-

ferentation studies (Taub, Bacon, & Berman, 1965; Taub, Teodoru, Ell-
man, Bloom, & Berman, 1966) also show that responses can be acquired,
performed discriminatively, and extinguished even though sensory soma-
tic feedback is surgically abolished by limb deafferentation. It would seem

from these findings that the acquisition, integration, facilitation and in-
hibition of responses can be achieved through central mechanisms inde-
pendently of peripheral sensory feedback.
132 MODELING AND VICARIOUS PROCESSES

It is also evident that rapid selection of responses from among a varied

array of alternatives cannot be governed by proprioceptive feedback since
relatively few responses could be activated, even incipiently, during char-
acteristically brief pre-decision periods ( Miller, 1964 ) In recognizing this
.

problem, Mowrer (1960) has conjectured that the initial scanning and
selection of responses may occur primarily at the symbolic rather than at
the action level.
Human functioning would be inflexible and unadaptive if responsive-
ness were controlled by affectivity inherent in the behavior itself. Because
social responsiveness is highly discriminative, it is extremely doubtful that
behavioral patterns are regulated by affective qualities implanted in be-
havior.To take aggression as an example, hitting responses directed to-
ward parents, peers, and inanimate objects differ little, if at all; neverthe-
less, physically aggressive responses toward parents are generally strongly
whereas physical aggression toward peers is freely expressed
inhibited,
(Bandura, 1960; Bandura & Walters, 1959). Moreover, in certain well-
defined contexts, particularly in competitive, physical contact sports such
as boxing, people will easily and maintain unattenuated, physi-
initiate
cally aggressive behavior. One would,
therefore, predict more accurately
the expression or inhibition of identical aggressive responses from knowl-
edge of the stimulus context (e.g., church, athletic gymnasium), the ob-
ject (e.g., parent, priest, policeman, or peer), and other cues that signify
predictable consequences, than from assessment of the affective value of
aggressive behavior. It has been amply demonstrated (Bandura, 1968)
that the selection and performance of matching responses is mainly gov-
erned by anticipated outcomes based on previous consequences that were
directly encountered, vicariously experienced, or self-administered.
Although feedback conceptions of modeling do not require a response
to be performed before it can be learned, they nevertheless fail to explain
the acquisition of matching behavior when reinforcers are not dispensed
either to the model or to observers. Moreover, a vast majority of the re-
sponses that are acquired observationally are not affectively valenced.
This is exemplified by studies of observational learning of perceptual-
motor tasks from filmed demonstrations ( Sheffield & Maccoby, 1961 ) that
do not contain positive or aversive stimuli essential for the classical con-
ditioning of emotional responses. Mowrer has, of course, pointed out that
sensory experiences not only classically condition positive or negative
emotions, but also produce conditioned sensations or images. In most
cases of observational learning images or other forms of symbolic repre-
sentations of modeling stimuli may be the only important mediators. Sen-
sory-feedback theories of imitation may therefore be primarily relevant to
instances in which the modeled responses incur relatively potent reinforc-
Theoretical Conceptions of Observational Learning 133

ing consequences capable of endowing response-correlated stimuli with

motivational properties. Affective conditioning should therefore be re-
garded as a facilitative rather than a necessary condition for modeling.

CONTIGUITY-MEDIATIONAL THEOBIES

When a person observes a model's behavior, but otherwise performs

no overt responses, he can acquire the modeled responses while- they are
occurring only in cognitive, representational forms. Any learning under
these conditions occurs purely on an observational or covert basis. This
mode of response acquisition has accordingly been designated as no-trial
learning (Bandura, 1965a), because the observer does not engage in any
overt responding trials, although he may require multiple observational
trials in order to reproduce modeled stimuli accurately. Several theoreti-

cal analyses of observational learning ( Bandura, 1962, 1965a; Sheffield,

1961) assign a prominent role to representational mediators that are as-
sumed to be acquired on the basis of a contiguity learning process. Ac-
cording to the author's formulation, observational learning involves two
representational systems —
an imagined and a verbal one. After modeling
stimulihave been coded into images or words for memory representation
they function as mediators for subsequent response retrieval and repro-
duction.
Imagery formation is assumed to occur through a process of sensory
conditioning. That is, during the period of exposure, modeling stimuli
elicit in observers perceptual responses that become sequentially asso-
ciated and centrally integrated on the basis of temporal contiguity of
stimulation. If perceptual sequences are repeatedly elicited, a constituent
stimulus acquires the capacity to evoke images (i.e., centrally aroused
perceptions) of the associated stimulus events even though they are no
longer physically present (Conant, 1964; Ellson, 1941; Leuba, 1940).
Thus, for example, if a bell is sounded in association with a picture of an

automobile the bell alone tends to elicit imagery of the car. Under condi-
tions where stimulus events are highly correlated, as when a name is con-
sistently associated with a given person, it is virtually impossible to hear
the name without experiencing imagery of the person's physical char-
acteristics. The findings of studies cited above indicate that, in the course
of observation, transitory perceptual phenomena produce relatively en-
during, retrievable images of modeled sequences of behavior. Later re-
instatement of imaginal mediators serves as a guide for reproduction of
matching responses.
The second representational system, which probably accounts for the
notable speed of observational learning and long-term retention of
modeled contents by humans, involves verbal coding of observed events.
134 MODELING AND VICARIOUS PROCESSES

Most of the cognitive processes that regulate behavior are primarily

verbal rather than visual. To take a simple example, the route traversed
by a model can be acquired, retained, and later reproduced more ac-
curately by verbal coding of the visual information into a sequence of
right-left turns (e.g., RRLRR) than by reliance upon visual imagery of
the itinerary. Observational learning and retention are facilitated by
such codes because they can carry a great deal of information in an easily
stored form. After modeled sequences of responses have been trans-
formed into readily utilizable verbal symbols, later perfonnances of
matching behavior can be effectively controlled by covert verbal self-
directions.
The influential role of symbolic representation in observational learn-
ing is disclosed by a study (Bandura, Grusec, & Menlove, 1966) in which
children were exposed to several complex sequences of modeling be-
havior on film, during which they either watched attentively, verbalized
the novel responses as they were performed by the model, or counted
rapidly while watching the film to prevent implicit verbal coding of
modeling cues. A subsequent test of observational learning disclosed
that children who verbally labeled the modeled patterns reproduced
significantly more matching responses than those in the viewing-alone
condition who, in turn, showed a higher level of acquisition than chil-
dren who engaged in competing symbolization.
Further supporting evidence for the influence of symbolic coding
operations in the acquisition and retention of modeled responses is
furnished by Gerst (1969). Subjects observed a filmed model perform
complex motor responses varying in the ease with which they could be
verbally coded. They were instructed to code the items into either vivid
images, concrete verbal descriptions of the response elements, or con-
venient summary labels that incorporated the essential ingredients of the
responses. Compared to the performance of control subjects who had no
opportunity to generate symbolic mediators, all three coding operations
enhanced observational learning (Figure 3-3). Concise labeling and
imaginal codes were equally effective in aiding immediate reproduction
of modeled responses and both systems proved superior in this respect
to the concrete verbal form. However, a subsequent test for retention
of matching responses showed concise labeling to be the best coding sys-
tem for memory representation. Subjects in the latter conditions re-
tained a significant amount of what they learned, whereas those who
relied upon imagery and concrete verbalizations displayed a substantial
loss of matching responses.
Results of a program of research using a nonresponse acquisition
procedure ( Bandura, 1965a ) indicate that the organization of behavioral
Theoretical Conceptions of Observational Learning 135

80 Labeling •-

Imagery •«

Verbalization •-

Control •

70

§ 60

50

40

30

Immediate Delayed
Reproduction Reproduction

Figure 3-3. Percentage of modeled responses reproduced by control subjects

and those who coded the modeled behavior as either images, concrete verbal
descriptions, or summary labels for memory representation. Gerst, 1969.

elements into novel patterns resembling modeled responses can occur

at a central level without overt responding. The present theory assumes,
however, that stimulus contiguity is a necessary, but not a sufficient,
condition for observational learning. Modeling phenomena, in fact, in-
volve several complexly interrelated subprocesses, each with its own set
of controlling variables. A
comprehensive theory of observational learn-
ing must therefore encompass the diverse subsystems governing the
broader phenomena. The main component functions that markedly in-
fluence the nature and degree of observational learning are discussed
next.
136 MODELING AND VICARIOUS PROCESSES

ATTENTIONAL PROCESSES
Since repeated contiguous stimulation alone does not always result in
response acquisition, it is evident that additional conditions are required

for the occurrence of observational learning. Simply exposing persons

to distinctive sequences of modeled stimuli does not in itself guarantee
that they will attend closely to the cues, that they will necessarily select
from the total stimulus complex the most relevant events, or that they
will even perceive accurately the cues to which their attention has been
directed. An observer will fail to acquire matching behavior, at the
sensory registration level, if he does not attend to, recognize, or dif-
ferentiate the distinctive features of the model's responses. To produce
learning, therefore, stimulus contiguity must be accompanied by dis-
criminative observation.
A number of attention-controlling variables, some related to incentive
conditions, others to observer characteristics, and still others to the
properties of the modeling cues themselves, will be influential in deter-
mining which modeling stimuli be observed and which will be
will
ignored. Selectivity of modeling stimuli may be partly a function of their
inherent physical properties based on intensity, size, vividness and
novelty. Of much greater importance for social learning, however, is the
acquired distinctiveness of model attributes ( Miller & Dollard, 1941 ) By .

being repeatedly rewarded for imitating certain types of models and not
rewarded for matching the behavior of models possessing different char-
acteristics, persons eventually learn to discriminate between modeling
cues that signify differential probabilities of reinforcement. Thus, models
who have demonstrated high competence (Gelfand, 1962; Mausner,
1954a, b; Mausner & Bloch, 1957; Rosenbaum & Tucker, 1962), who are
purported experts (Mausner, 1953) or celebrities (Hovland, Janis, &
Kelley, 1953), and who possess status-conferring symbols (Lefkowitz,
Blake, & Mouton, 1955) are likely to command more attention and to
serve as more influential sources of social behavior than models who lack
these qualities. Other distinctive characteristics, such as age (Bandura
& Kupers, 1964; Hicks, 1965; Jakubczak & Walters, 1959), sex (Bandura,
Ross, & Maccoby & Wilson, 1957; Ofstad, 1967; Rosenblith,
Ross, 1963a;
1959, 1961), socialpower (Bandura, Ross, & Ross, 1963b; Mischel &
Grusec, 1966), and ethnic status (Epstein, 1966), which are correlated
with differential probabilities of reinforcement, likewise influence the
degree to which models who possess these attributes will be selected for
emulation.
The affective valence of models, as mediated through their attractive-

ness and other rewarding qualities (Bandura & Huston, 1961; Grusec &
Mischel, 1966), may augment observational learning by eliciting and
Theoretical Conceptions of Observational Learning 137

maintaining strong attending behavior. At the social level, one's organi-

zational affiliations and living circumstances, which affect associational
networks and preferences, will also determine to a large degree the types
of models to whom one is repeatedly exposed, and consequently, the
modes of behavior that will be most thoroughly learned.
An adequate theory of vicarious learning must also explain why,
under essentially identical conditions of modeling stimulation, some per-
sons display higher levels of response acquisition than others. There is
suggestive evidence that characteristics of observers, deriving from their
previous social-learning experiences, may be associated with different
observational patterns. The extent to which modeled patterns are re-
produced is significantly influenced by observer characteristics such as
dependency (Jakubczak & Walters, 1959; Kagan & Mussen, 1956; Ross,
1966), self-esteem (de Charms & Rosenbaum, 1960; Gelfand, 1962; Lesser
& Abelson, 1959 ) level of competence ( Kanareff & Lanzetta, 1960 ) and
, ,

socioeconomic and racial status (Beyer & May, 1968); and countless
studies have shown that the effects of modeling stimuli are partly de-
termined by the sex of observers. Persons who have been frequently
rewarded for displaying matching behavior (Miller & Dollard, 1941;
Schein, 1954) are also apt to be most attentive to modeling cues. Finally,
motivational variables and transitory emotional arousal significantly alter
perceptual thresholds and in other ways facilitate, impede, and channel
observing responses (Bandura & Rosenthal, 1966; Easterbrook, 1959;
Kausler & Trapp, 1960).
It is difficult to evaluate from performance measures alone whether
the effects of observer characteristics reflect differences in degree of
observational learning or in willingness to perform what has been learned.
Results of several studies employing a learning analysis of modeling
(Bandura, Grusec, & Menlove, 1966; Grusec & Brinker, 1969; Maccoby
& Wilson, 1957) disclose that observer characteristics can serve as deter-
minants of observational learning.
Viewers' observing behavior can be effectively enhanced and focused
through arrangement of appropriate incentive conditions. Persons who
are informed in advance that they will later be asked to reproduce a
given model's responses and rewarded in terms of the number of elements
performed correctly would be expected to pay much closer attention to
relevant modeling stimuli than persons who are exposed to the same
modeled events without any predisposition to observe and to learn them.
The facilitative influence of incentive set on observational learning will
be most operative under exposure to multiple models requiring selective
attentiveness to conflicting cues. Indeed, incentive control of observing
behavior can, in most instances, override the effects of variations in ob-
server characteristics and model attributes. It should be noted, however,
138 MODELING AND VICARIOUS PROCESSES

that in the present theory reinforcement variables, to the extent that they
influence the acquisition process, do so principally by augmenting and
sustaining attentiveness to modeling cues.
In addition to attention-directing variables, stimulus input conditions
( i e., rate, number, distribution, and complexity of modeling stimuli pre-
sented to observers) will regulate the acquisition of modeled responses
to some extent. The observer's capacity to process information sets
definite limitson the number of modeling cues that can be acquired
during a single exposure. Therefore, if modeling stimuli are presented
at a rate or level of complexity that exceeds the observer's receptive
capabilities, observational learning will necessarily be limited and frag-
mentary. Under such conditions repeated presentations of the modeling
stimuli would be required in order to produce complete and precise
response matching.
Finally, the rate and be affected
level of observational learning will
by the discriminabilitv modeling stimuli. Modeled characteristics that
of
are highly discernible can be more readily acquired than subtle attributes
which must be abstracted from heterogeneous responses differing on
numerous stimulus dimensions. In highly intricate response systems, such
as language 1
behavior, for example, children typically encounter consider-
able difficulty in acquiring linguistic structures because the identifying
characteristics of different grammatical constructions cannot be readily
distinguished within extremely diverse and complex utterances. However,
when verbal modeling cues are combined with procedures designed to
increase syntactic discriminabilitv (Bandura & Harris, 1966; Lovaas,
1966a; Odom, Liebert, & Hill, 1968) relatively complicated linguistic
patterns of behavior can be acquired and modified observationally.
In therapeutic applications of modeling procedures observational
learning is often retarded by discrimination failures arising from defi-
ciencies in cognitiveskills, sensory-motor handicaps, or faulty prior learn-

ing. In such cases a program of discrimination pretraining may greatly

accelerate modeling processes. Winitz and Preisler (1965) have shown,
for example, that children who learned to discriminate erroneous sounds
from correct sounds that they had misarticulated subsequently displayed
better imitative word learning than children who did not receive relevant
discrimination pretraining.

RETENTION PROCESSES
The discussion thus far has been concerned with sensory registration
and symbolic coding of modeling stimuli. Another basic component func-
tion involved in observational learning, but one that has been virtually
ignored in theories of imitation, concerns the retention of modeled events.
In order to reproduce social behavior without the continued presence
Theoretical Conceptions of Observational Learning 139

of external modeling cues a person must retain the original observational

inputs in some symbolic form. This is a particularly interesting problem
in instances where persons acquire social patterns of behavior observa-
tionally and retain them over extended periods of time, even though the
response tendencies are rarely, if ever, activated into overt performance
until attainment of the age or social status at which the activity is appro-
priate and permissible.
There are a number of theoretical controversies regarding memory
processes which will not be reviewed here since they fall beyond the
scope of this book. The major questions are whether memory traces are
established in an incremental or an all-or-none fashion; whether there
exists a dual or a single memory mechanism; and speculations about the
biochemical and neurophvsiological processes whereby transient neural
after-effects of stimulation result in relatively permanent structural al-
terations in the central nervous system. Although memory mechanisms
have not as yet been adequately explained, laboratory investigations have
identified a number of conditions that facilitate retention, some of which
have been shown to augment modeling performances.
Among the many variables governing retention processes, rehearsal
operations effectively stabilize and strengthen acquired responses. The
level of observational learning can, therefore, be considerably enhanced
through practice or overt rehearsal of modeled response sequences, par-
ticularly if the rehearsal is interposed after natural segments of a larger
modeled pattern (Margolius & Sheffield, 1961). Of greater import is evi-
dence that covert rehearsal, which can be readily engaged in when overt
participation is either impeded or impracticable, may likewise enhance
retention of acquired matching responses (Michael & Maccoby, 1961).
Data are meager, however, on the types of responses that are most sus-
ceptible to strengthening through covert rehearsal. Several experiments
involving a variety of tasks ( Morrisett, 1956; Perry, 1939; Twining, 1949;
Vandell, Davis, & Clugston, 1943), have shown that symbolic rehearsal
of activities significantly improves their later performance. Such practice
appears to be most effective in tasks that rely heavily upon symbolic
functions.
The influential role of covert practice of modeled behaviors has re-
ceived greatest emphasis in Maccoby's (1959) account of the identifica-
tion process. According to this view, controlling, nurturing,and care-
taking activities require explicit reciprocal behaviors on the part of
parents and children. Consequently, in the course of frequent mutually
dependent interactions both participants learn, anticipate, and covertly
rehearse each other's customary responses. In addition to the frequency
and intimacy of social interactions, the degree of power exercised by the
model over desired resources is considered to be an important deter-
140 MODELING AND VICARIOUS PROCESSES

minant of the frequency of fantasy role-playing. In this theory, vicarious

role-rehearsal primarily serves a defensive function; that is, in an effort

to guide his behavior toward models who possess controlling power, a

person will imagine different courses of action for receiving help or avoid-
ing censure, and he will try to anticipate as accurately as possible the
model's probable responses to these approaches. On the other hand, there
would be little incentive to prepare oneself for, or to practice covertly,
the behavior of models who command no rewarding or punishing power.
Anticipatory implicit rehearsal of modeled responses may be sup-
ported to some extent by role reciprocity and threat from resource con-
trollers, but it should be noted that persons will also be inclined to
practice modeled responses that are effective in producing rewarding
outcomes. Moreover, according to social-learning theory, the behavior of
powerful models will be attended to, rehearsed, and reproduced even
though observers have had no direct interaction with them, because
their behavior is likely to have high utilitarian value. This is particularly
who possess expert power in particular special-
true in the case of models
ties. would be unnecessary, for example, for a novice to establish a
It

complementary role relationship with a qualified automobile mechanic in

order to master his skills through observation during apprenticeship
training. Rehearsal behavior isundoubtedly governed by different types
of incentive conditions, some of which may be entirely independent of
the model whose behavior 1
is being emulated.
It is generally assumed that the facilitative effects of rehearsal result
not from sheer repetition, but rather from more active processes. The
interpolation of rehearsal in intricate modeled sequences distributes the
learning; this reduces loss through intraserial interference from other
displayed elements (Margolius & Sheffield, 1961). Reproduction of
matching responses, either on an overt or covert level, also provides the
observer with opportunities to identify the response elements that he
has failed to learn and thus to direct his attention to the overlooked
modeling cues during subsequent exposure (McGuire, 1961). Finally,
periodic reproduction of modeled segments is likely to elicit and to
sustain greater attentiveness to modeling stimuli than passive observation
of lengthy, uninterrupted sequences of behavior (Hovland, Lumsdaine,
& Maccoby, Michael, & Levine, 1961).
Sheffield, 1949;
Symbolic coding operations, to which reference was made earlier, are
even more efficacious than rehearsal processes in facilitating long-term
retention of modeled events. During exposure to stimulus sequences
observers are inclined to code, classify, and reorganize elements into
familiar and more easily remembered schemes (Bower, 1969; Mandler,
1968; Paivio, 1969; Tulving, 1968). These coding devices may take vari-
ous forms, such as representing stimulus elements in vivid imagery,
Theoretical Conceptions of Observational Learning 141

translating action sequences into abbreviated verbal systems, and group-

ing constituent patterns of behavior into larger integrated units. The
benefits accruing from rehearsal may, in fact,be largely attributable not
to associative strengthening effects of repetition, but rather to coding and
organizational processes operating during repeated enactments.
Decrements in retention often result primarily from interference or
unlearning arising from either previously acquired contents or succeeding
observational inputs. These interference processes are most influenced by
the rate, temporal distribution, and serial organization of stimulus inputs.
Under massed exposure conditions where modeling stimuli are presented
in lengthy, uninterrupted sequences, substantial interference effects are
created which not only impair retention, but may result in the develop-
ment modeling responses. In one study (Bandura,
of highly erroneous
Grusec, & Menlove, 1966), for example, children who had observed five
relatively complex sequences of modeled responses during a single ex-
posure sometimes erroneously combined elements from the different seg-
ments in subsequent behavioral reproductions. The amount of forgetting
and interpattern intrusion will vary with the degree of similarity of be-
havioral elements in the various modeled sequences. On the other hand,
modeling cues that are presented in smaller units and at spaced intervals
are much less susceptible to loss through associative interference.

MOTOR REPRODUCTION PROCESSES

The third major component of modeling phenomena involves the
utilization of symbolic representations of modeled patterns in the form
of imaginal and verbal contents to guide overt performances. It is as-
sumed that reinstatement of representational schemes provides a basis
for self-instruction regarding the manner in which component responses
must be combined and sequenced to produce new patterns of behavior.
The process of representational guidance is essentially the same as re-
sponse learning under conditions where a person behaviorally follows an
externally depicted pattern, or is directed through a series of instructions
to enact novel response sequences. The only difference is that, in the
latter cases, performance is directed by external cues, whereas, in delayed
modeling, behavioral reproduction is monitored by symbolic counter-
parts of absent stimuli.
The rate and level of observational learning will be partly governed,
at the motor level, by the availability of necessary component responses.
Behavior patterns of high-order complexity are produced by combina-
tions of previously learned components which may, in themselves, rep-
resent relatively intricate compounds. Modeled response patterns are
most readily achieved when they require primarily the synthesis of
previously acquired components into new patterns exhibited by models.
142 MODELING AND VICARIOUS PROCESSES

On the other hand, observers who lack some of the necessary components
will, in all probability, display only partial reproduction of a model's
behavior. In such cases, the constituent elements first must be established
through modeling and then, in a stepwise fashion, increasingly complex
compounds can be acquired imitatively. Thus, for example, when a mute
autistic child failed to imitate the word baby,
the therapist modeled the
component sounds, and were established through
after these elements
imitation, the child readilv reproduced the word baby (Lovaas, 1966b).
As will be illustrated later, graduated modeling procedures have proved
highly effective for modifying gross behavioral deficits.
In many instances modeled response patterns have been acquired
and retained in representational forms but they cannot be reproduced
behaviorally because of physical limitations. Few basketball enthusiasts
could ever successfully match the remarkable performances of a towering
professional player regardless of their vigilance and dutiful rehearsal.
Accurate behavioral enactment of modeling cues is also difficult to
achieve under conditions where the model's performance governed by is

subtle adjustment of internal responses that are unobservable and not

easily communicable. An aspiring operatic singer may benefit consider-
ably from observing an accomplished voice instructor; nevertheless,
skilled vocal reproduction is hampered by the fact that the model's
laryngeal and respiratory muscle responses are neither readilv observable
nor easily described verbally. The problem of behavioral reproduction
is further complicated in the ease of highly coordinated motor skills,

such as golf, in which a person cannot observe many of the responses he

is making and must therefore primarily rely upon proprioceptive feed-
back cues. For these reasons, performances that contain many motor
factors usually require, in addition to the guidance of a proficient model,
some overt practice.

INCENTIVE AND MOTIVATIONAL PROCESSES

A person may acquire and retain modeled events and possess the
capabilities for skillful execution of modeled behavior, but the learning
may rarely be activated into overt performance if negative sanctions or
unfavorable incentive conditions obtain. Under such circumstances, when
positive incentives are introduced observational learning is promptly
translated into action ( Bandura, 1965b ) Incentive variables not only reg-
.

ulate the overt expression of matching behavior, but they also affect ob-
servational learning by exerting selective control over the modeling cues
to which a person is most likely to be attentive. Further, they facilitate
selective bv activating
retention coding and rehearsal of
deliberate
modeled responses that have high utilitarian value.
It is evident from the foregoing discussion that observers do not func-
Establishment of New Response Patterns through Modeling 143

tion as passive video-tape recorders which indiscriminately register and

store allmodeling stimuli encountered in everyday life. From a social-
learning perspective, observational learning constitutes a complex multi-
process phenomenon in which absence of appropriate matching responses
following exposure to modeling stimuli may result from failures in
sensory registration, inadequate transformation of modeled events to
symbolic modes of representation, retention decrements, motor deficien-
cies, or unfavorable conditions of reinforcement.

Establishment of New Response Patterns

through Modeling
Research and theoretical interpretations of learning processes have
focused almost exclusively on a single mode of response acquisition which
is exemplified by the operant or instrumental conditioning paradigm. In
this procedure an organism is instigated, in one way or another, to per-
form responses, and approximations progressively closer to the desired
final behavior are selectively reinforced. It is generally assumed that
complex human behavior is likewise developed under naturalistic con-
ditions through this type of gradual shaping process.
Fortunately, for reasons of survival and efficiency, most social learn-
ing does not proceed in the manner described above. In laboratory in-
vestigations of learning processes experimenters usually arrange com-
paratively benign environments in which errors will not produce fatal
consequences for the organism. In contrast, natural settings are loaded
with potentially lethal consequences that unmercifully befall anyone
who makes hazardous errors. For this reason, it would be exceedingly
injudicious to rely primarily upon trial-and-error and successive approxi-
mation methods in teaching children to swim, adolescents to drive auto-
mobiles, or adults to master complex occupational and social tasks. If
rodents, pigeons, or primates toiling in contrived situations could like-
wise get electrocuted, dismembered, or bruised for errors that inevitably
occur during early phases of learning, few of these venturesome subjects
would ever survive the shaping process.
Apart from the question of survival, it is doubtful if many classes of
responses would ever be acquired if social training proceeded solely by
the method of successive approximations through differential reinforce-
ment of emitted responses. The technique of reinforced shaping requires
a subject to perform some approximation of the terminal response before
he can learn it. In instances where a behavioral pattern contains a
highly unusual combination of elements selected from an almost infinite
number of alternatives the probability of occurrence of the desired re-
sponse, or even one that has some remote resemblance to it, will be zero.
144 MODELING AND VICARIOUS PROCESSES

Nor is the shaping procedure likely to be of much aid in evoking the

necessary constituent responses from spontaneously emitted behavior. It
is highly doubtful, for example, that an experimenter could teach a

mynah bird the phrase "successive approximations" by selective rein-

forcement of the bird's random squeaks and squawks. On the other hand,
housewives establish extensive verbal repertoires in their feathered
friends by verbally modeling desired phrases either in person or by
means of recordings. Similarly, if children had no exposure to verbalizing
models it would probably be impossible to teach them the kinds of verbal
responses that constitute a language. In cases involving intricate patterns
of behavior, modeling is an indispensable aspect of learning.
Differential reinforcement alone can be employed to evoke new pat-
terns of behavior under conditions where responses are composed of
readily available elements, stimuli exist that are capable of arousing
actions that resemble the desired pattern, erroneous responsiveness does
not produce injurious consequences, and the learning agent possesses
sufficientendurance. Even in these cases the response acquisition process
can be considerably shortened and accelerated by the provision of ap-
propriate social models. This is particularly true if a pattern of behavior
contains some elements that are rarely performed. For example, Luchins
and Luchins (1966) found that college students made over a thousand
errors and never did fully acquire a complicated sequence of behavior
when the only response guidance they received was in the form of dif-
ferential feedback of correctly performed elements. By contrast, subjects
provided with reinforced models learned the entire role behavior rapidly
and were spared the exasperation and frustration evidenced by the trial-
and-error group.
A similar problem arises if the presence of dominant pre-established
behaviors precludes emission of the desired subordinate responses which
seldom occur and, therefore, cannot be influenced by reinforcement
(Bandura & Harris, 1966; Bandura & McDonald, 1963). An experiment
designed to test whether moral judgments reflect a fixed developmental
sequence, as suggested by Piaget's theory ( 1948 ) or are modifiable by
,

social-learning variables illustrates the latter point. In one condition of the

study (Bandura & McDonald, 1963), children who exhibited a predomi-
nant, subjective moral orientation either observed adult models who
expressed objective moral judgments, or had no exposure to the models
but were positively reinforced whenever they expressed objective moral
judgments that ran counter to their dominant evaluative tendencies. The
provision of models was found to be highly effective in altering the
children's judgmental responses (Figure 3-4). On the other hand, the
reinforcement procedure alone effected little change in the children's
Establishment of New Response Patterns through Modeling 145

70 Reinforced model •-

Reinforcement alone

60
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#50
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| 40

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£20

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1 2 3
Treatment phase
Blocks of 4 Scores

Figure 3-4. Mean percentage of objective moral judgment responses produced

by subjective children who were either reinforced for objective judgments or
exposed to reinforced models who exemplified an objective evaluative orienta-
tion. Plotted from the data of Bandura & McDonald, 1967.

judgmental orientation because of the relative absence of the desired

behavior.
It is evident from informal observation that vicarious learning experi-
ences and response guidance procedures involving both symbolic and
live models are utilized extensively in social learning to short-circuit
the acquisition process. Indeed, it would be difficult to imagine a culture
in which the language, mores, vocational and avocational patterns, fa-
milial customs, and educational, social, and political practices were
shaped in each new member through a gradual process of differential
reinforcement without the response guidance of models who exemplify
the accumulated cultural repertoires in their own behavior. In social
learning under naturalistic conditions responses are typically acquired
through modeling in large segments or in toto rather than in a piecemeal,
trial-and-error fashion.
Much social learning is fostered through exposure to behavioral
modeling cues in actual or pictorial forms. However, after adequate
language development is achieved, people rely extensively upon verbal
modeling cues for guiding their behavior. Thus, for example, one can
 )

146 MODELING AND VICARIOUS PROCESSES

usually assemble relatively complicated mechanical equipment, acquire

rudimentary social and vocational skills, and learn appropriate ways of
behaving in almost any situation simply by matching the responses de-
scribed in instructional manuals. If the relevant responses are specified
clearly and models may have
in sufficient detail, verbally symbolized
effects similar to those induced by analogous behavioral displays (Ban-
dura & Mischel, 1965). The use of verbal forms of modeling makes it
possible to transmit an almost infinite variety of values and response pat-
terns that would be exceedingly difficult and time consuming to portray
behaviorally.
The foregoing discussion is relevant to the issue of instructional con-
trol of behavior. In investigating the process of verbal control it is essen-
tial to between the instigational and the modeling functions of
distinguish
instructions. Instructions are most likely to result in correct performance
when they both activate a person to respond and describe the appro-
priate responses and the order in which they should be performed. Little
would be gained, for example, by simply instructing a person who has
had no prior contact with cars to drive an automobile. In studies com-
paring the relative efficacy of instructions and verbal modeling (Masters
1

& Branch, 1969), both types of influences produce their effects through
verbal modeling and they differ only in the explicitness with which the
required responses are defined. As might be expected, greater perform-
ance gains are achieved when the desired behavior is clearly specified
than when it must be inferred from a few examples.
The basic components in the development of complex integrated units
of behavior are usually present in subjects' behavioral repertoires as prod-
ucts either of maturation or of prior observational learning and in-
strumental conditioning. For example, persons can produce a variety of
elementary sounds as part of their natural endowment. By combining
existing sounds one can create a novel and exceedingly complex verbal
response such as supercalifragilistieexpialidocious. Similarly, people are
endowed with the capacity to move their fingers, but intricate sequen-
tial arrangements of movements are required to perforin a piano concerto.

While most of the elements in activities that are typically modeled in

studies of observational learning are undoubtedly present, the particular
combination of components in each response may be unique.
There have been numerous experiments of observational learning in
inf rahuman species dating back to the early studies of Thorndike ( 1898
and Watson (1908). These initial investigations, which were conducted
at a time when interpretations of imitation as instinct were in vogue,
summarily dismissed the existence of observational learning on the basis
of disappointing results from a few animals tested under weak incen-
tives and conditions that failed to ensure adequate observation of the
Establishment of New Response Patterns through Modeling 147

demonstrator's performance. Subsequent studies conducted under more

favorable experimental conditions have generally shown that primates
can learn to solve manipulative problems (Hayes & Hayes, 1952) and
animals of lower order can acquire discriminations ( Bayroff & Lard, 1944;
Church, 1957; Miller & Dollard, 1941; Solomon & Coles, 1954), lever-press-
ing responses (Corson, 1967), and escape behavior (Angermeier, Schaul,
& James, 1959) and can master relatively complex tasks (Herbert &
Harsh, 1944) more rapidly through observation than the original models
achieved by trial- and-error or response-shaping techniques. For example,
Warden and (Warden, Fjeld, & Koch, 1940; Warden &
his associates
Jackson, 1935) spent a considerable amount of time in training rhesus
monkeys by trial-and-error methods to master four problem-solving tasks
in which the animals opened doors to obtain raisins by pulling chains,
turning knobs, or manipulating latches in certain prescribed ways. Fol-
lowing training, the primate models manipulated the puzzle devices
while naive monkeys, presented with a duplicate set of problems, ob-
served the skilled demonstrators. The naive observers achieved instan-
taneous imitative solutions in 76 percent of the test trials! Adler and
Adler ( 1968 ) found that puppies solve problems through observational
learning soon after their eyes become functional. Results of several ex-
periments (Darby & Riopelle, 1959; Herbert & Harsh, 1944) show that
the increments in performance resulting from observation are not attribut-
able to the fact that the model's demonstration may have simply drawn
attention to relevant nonsocial stimuli in the situation.
The animal studies, with few exceptions, have involved relatively
simple responses that were reproduced either simultaneously or immedi-
ately after demonstration. Although relevant comparative data are lack-
ing, it is humans who are capable of acquir-
highly probable that, unlike
ing observationally and retaining large integrated units of behavior, lower
species would display a limited capacity for delayed reproduction of
modeling stimuli due to sensory-motor deficiencies. Delayed imitation
also requires some capacity for symbolization since the absent modeling
stimuli must be retained in symbolic memory codes. As might be ex-
pected, the most striking evidence of observational response learning in
animals comes from naturalistic studies of both immediate and delayed
imitation of human responses by primates reared in human families
(Hayes & Hayes, 1952; Kellogg & Kellogg, 1933). Field studies of primate
social behavior (Imanishi, 1957; Kawamura, 1963) likewise provide
dramatic illustrations of the manner in which idiosyncratic patterns of
behavior are acquired and transmitted to other members of the subcul-
ture through modeling. The propagation process is greatly influenced by
pre-existing associational networks and the social status of the innovator.
The available cross-species data thus suggest that the rate and level
148 MODELING AND VICARIOUS PROCESSES

of observational learning will be governed by the extent to which subjects

possess the requisite sensory capacities for accurate receptivity of model-
ing stimuli, the motor capacities necessary for precise behavioral repro-
duction, and the capacity for representational mediation and covert re-
hearsal, which is crucial for successful acquisition and long-term reten-
tion of extended complex sequences of behavior.
In the case ofhumans a wide variety of response patterns differing
considerably in content, novelty, and complexity have been transmitted
through modeling procedures under laboratory conditions. Among the
diverse classes of behavior that have been developed are included stvlis-
tic response patterns ( Bandura, Grusec, & Menlove, 1966; Bandura, Ross,

& Ross 1963b), distinctive modes of aggressive behavior (Bandura, Ross,

& Ross, 1963a; Hicks, 1965; Kuhn, Madsen, & Becker, 1967), dramatic
play patterns (Marshall & Hahn, 1967), prosocial frustration reactions
(Chittenden, 1942), and teaching styles (Feshbach, 1967; McDonald &
Allen, 1967). At an even higher level of complexity, it has been shown
that through exposure to the behavior of models persons can acquire
standards for self-reinforcement and self-evaluative responses (Bandura
& Kupers, 1964; Bandura & Whalen, 1966; Bandura, Grusec, & Menlove,
1967b), conceptual behavior (Flanders & Thistlethwaite, 1969; Reed,
1966), moral judgmental orientations (Bandura & McDonald, 1963),
self-imposed delay-of-gratification patterns (Bandura & Mischel, 1965),
linguistic structures (Lovaas, 1966a). and distinctive phonetic variations
in verbal behavior ( Alvokrinskii, 1963; Hanlon, 1964).

GENERALITY OF MODELING INFLUENCES

It is widely assumed, on the basis of evidence that people often

produce new responses which the\ have never formed or seen before,
that learning principles cannot account for innovative behavior. Theories
employing modeling principles have often been similarly questioned on
the mistaken assumption that exposure to the behavior of others can
produce at most mimicry of specific modeled responses.
In most experimental investigations of modeling processes a single
model exhibits a limited set of responses, and observers are subsequently
tested for precise response duplication under similar stimulus conditions.
These restricted experimental paradigms cannot yield outcomes that ex-
tend bevond the particular responses demonstrated. On the other hand,
studies employing more complex procedures indicate that innovative be-
havior, generalized behavioral orientations, and principles for generating
novel combinations of responses can be transmitted to observers through
exposure to modeling cues. Under conditions in which opportunities are
provided to observe the behavior of heterogeneous models (Bandura,
Ross, & Ross, 1963b), observers typically display novel patterns of be-
Establishment of New Response Patterns through Modeling 149

havior representing diverse combinations of elements from the different

models. Illustrations of the efficacy of modeling procedures for develop-
ing generalized conceptual and behavioral propensities are provided in
studies designed to modify moral judgmental orientations (Bandura &
McDonald, 1963) and delay-of-gratification patterns of behavior (Ban-
dura & Mischel, 1965). In these experiments the models and observers
respond to entirely different sets of stimuli in the social-influence setting.
Tests for generalized modeling effects are conducted by different experi-
menters, in different settings, with the models absent, and with different
stimulus items. The results disclose that observers respond to new stimu-
lus situations in a manner consistent with the models' dispositions even
though the subjects have never witnessed the models' behavior in response
to the same stimuli.
In the higher-order form of modeling described above the modeling
stimuli convey information to observers about the characteristics of ap-
propriate responses. Observers must abstract common attributes exempli-
fied in diverse modeled responses and formulate a principle for gener-
ating similar patterns of behavior. Responses performed by subjects that
embody the observationally derived rule are likely to resemble the be-
havior that the model would be inclined to exhibit under similar circum-
stances, even though subjects had never witnessed the model's behavior
in these particular situations. The abstraction of rules from modeling
cues is achieved through vicarious discrimination learning (Bandura &
Harris, 1966), in which the model's responses containing the relevant
attributes are reinforced,whereas those that lack the critical features are
consistently nonre warded.
Although modeling variables play an important role in the develop-
ment of most social behaviors, their position with respect to language
learning is unique. Since individuals cannot acquire words and svntactic
structures without exposure to verbalizing models, it is obvious that
some amount of modeling is indispensable for language acquisition.
However, because of the highly generative character of linguistic be-
havior, it is usually assumed that imitation cannot play much part in
language development and production. The main argument, which is
based on the mimicry view of modeling, is as follows: Children can con-
struct an almost infinite varietv of sentences that they have never heard.
Consequently, instead of imitating and memorizing specific utterances
that thev have heard, children learn sets of rules, on the basis of which
they can generate an unlimited number of grammatical sentences.
It is obvious that rules about grammatical relations between words
cannot be learned unless thev are exemplified in the verbal behavior of
models. An important question therefore concerns the conditions that
facilitate abstraction of rules from verbal modeling cues. The principle
150 MODELING AND VICARIOUS PROCESSES

underlying a model's varied responses can be most readily discerned

if its identifying characteristics are repeated in responses involving a

variety of different stimuli. for example, one were to place a series of

If,

objects on tables, on
on boxes and on other objects, and simultane-
chairs,
ously verbalized the common prepositional relationship between these
objects, a child would eventually discern the grammatical principle. He
could then easily generate a novel grammatical sentence if a toy hip-
popotamus were placed on a xylophone and the child were asked to
describe the stimulus event enacted.
Unlike social responses which are often readily acquired, language
learning is considerably more difficult, because sentences represent com-
plex stimulus patterns in which the identifying features of syntactic
structures cannot be easily discriminated. The influential role of both
modeling and discrimination processes in language development is
shown by findings of an experiment (Bandura & Harris, 1966) designed
to alter th^ syntactic style of young children who had no formal gram-
matical knowledge of the linguistic features that were manipulated. The
grammatical constructions chosen to be modified were the prepositional
phrase, which has a high base rate of occurrence, and the passive voice,
which is grammatically more complex and rarely displayed by young
children.
As might be expected, social reinforcement, even when combined
with a strong attentional set to identify the characteristics of "correct"
sentences, was ineffective in increasing the use of passives in sentences
generated by the children in response to a set of simple nouns. The
majority of subjects did not produce a single passive sentence, and con-
sequently, no responses occurred that could be reinforced. Nor were the
children able, within the relatively brief exposure period, to discern the
critical syntactic category simply from observing a model construct a
series of passive sentences. In contrast, children generated significantly
more passives when verbal modeling cues were combined with procedures
designed to increase syntactic discriminability. The most powerful treat-
ment condition was one in which the attentional set was induced,
modeled passive constructions were interspersed with some sentences
in the active voice so as to enhance differentiation of relevant grammati-
cal properties, and both the model and the children were rewarded for
passive constructions. In the case of a syntactic category as common as
prepositional phrases, reinforcement together with an active attentional
set were effective in altering children's usage of prepositions, but model-
ing cues were not a significant contributory factor.
Further evidence for the influential role of modeling processes in lan-
guage acquisition is provided by naturalistic studies involving sequential
Establishment of New Response Patterns through Modeling 151

analyses of children's verbalizations and the immediately following

parental responses. Such studies disclose that young children's speech is
at best semi-grammatical; in approximately 30 percent of instances adults
repeat children's verbalization in a grammatically more complex form
accenting the elements that may have been omitted or inaccurately em-
ployed (Brown & Bellugi, 1964); and children often reproduce the more
complicated grammatical reconstructions modeled by adults (Slobin,
1968).
The promising based on laboratory studies of modeling proc-
findings
esses indicate that an efficaciousprogram of behavioral modification is
one in which change agents model the behaviors they wish their clients
to acquire. During recent years, a number of modeling procedures have
been devised and systematically applied to effect psychotherapeutic
changes. These treatment approaches are reviewed next.

ELIMINATION OF DEFICIT CONDITIONS THROUGH MODELING

Many of the generalized behavior disorders that are most intractable
are characterized by gross deficits not only in behavior but also in the
basic psychological functions essential for learning. The more severe
cases, such as autistic children and adult schizophrenics, generally mani-
fest little orno functional speech; they lack social skills that are conducive
to reciprocally rewarding relationships; and interpersonal stimuli, which
ordinarily serve as the principal medium of social influence, often have
relatively little impact on them. Since human behavior is largely acquired
through modeling and regulated by verbal cues and symbolic reinforcers,
profound deficiencies in functions of this nature create major obstacles to
treatment. These issues are best exemplified by the treatment of autism.
The elimination of autistic behavior is further complicated by the fact
that such children are characteristically engrossed in repetitive motor
activities and other forms of self-stimulatory behavior. Consequently, they
remain oblivious much of the time to relevant environmental influences.
The marked also generally coupled with strong resistance
self-isolation is

to situational demands, evidenced by their unwillingness to perform

as
appropriate responses that they are obviously capable of making ( Cowan,
Hoddinoth, & Wright, 1965). When behavioral demands within their
capabilities are firmly applied, the children are inclined to avoid respond-
ing by evading the therapist or by resorting to tantrums and bizarre motor
activities (Lovaas, 1966a; Colby, 1967). After such aversive behaviors
lose their functional value for avoiding social demands through con-
sistentnonreinforcement, autistic children typically respond with appro-
priate behavior (Risley & Wolf, 1967). However, the aversive counter-
control and lack of positive responsiveness eventually extinguish the
152 MODELING AND VICARIOUS PROCESSES

concerted efforts of less durable therapists. Disappointing treatment out-

comes, therefore, are frequently attributed to neurophysiological malfunc-
tion.
Although physiological variables are probably contributing factors in
autism, it should be noted that even biologically deficient organisms are

capable of learning provided that appropriate conditions are arranged. It

is evident, however, from the adverse behavior characteristics of autism

that extraordinary interventions must be employed, particularly in initial

phases, if any fundamental changes are to be effected in the psychological
functioning of autistic children.
One of the most provocative behavioral approaches to the treatment
of autism, in which modeling procedures figure prominently, has been
developed by Lovaas and his colleagues ( Lovaas, 1967 ) The therapeutic
.

program is based on the view that the total rehabilitation of autistic and
schizophrenic children can be best achieved through the establishment of
stimulus functions which make one amenable to social influence. This
process primarily involves developing children's responsiveness to model-
ing cues, increasing the discriminative value of stimulus events so that
children attend and respond appropriately to aspects of their environ-
ment that they have previously ignored, and endowing social approval
and other symbolic stimuli with reinforcing properties. After a strong
modeling set has been created, and children have become adequately
responsive to environmental influences, the major task of broadening
children's social and intellectual competencies can be effectively carried
out by parents, teachers, and other agents. Since interpersonal communi-
cation and social learning are extensively mediated through language, the
development of linguistic skills is also selected as a central objective of
treatment.
As noted previously, modeling outcomes depend upon accurate per-
ceptual input. Autistic children generally show defective reception of
external stimuli, a deficitwhich has been attributed by some researchers
to neurophysiological impairment (Hutt, Hutt, & Ounsted, 1965; Rim-
land, 1962 ) It cannot be determined from the available data whether the
.

weak registration of external stimuli results from the interfering effects

of high central arousal, from insufficient activation, from children's intense
preoccupation with their own self-produced stimulation, or from some
other factors. Whatever the reasons may be, it is evident that little head-
way can be made toward effecting behavioral change unless adequate
control is gained over children's attending behavior. Lovaas' method for
developing language functions in profoundly autistic children, who dis-

play marked withdrawal and bizarre self-stimulatory behaviors most of

the time, achieves attentional control through several means. First, the
therapist establishes close physical contact by sitting directly in front of
Establishment of New Response Patterns through Modeling 153

the child so he cannot easily ignore the responses that are being modeled.
Second, during the session the child is not permitted to avoid the thera-
peutic task by withdrawal or by resorting to bizarre activities. If neces-
sary, the therapist physically restrains the childfrom turning away, he
establishes eye contact by asking the and he may
child to look at him,
withhold positive attention, address the child sharply, or even slap him
on the thigh to terminate stereotyped bizarre behavior. Firm intervention
of this type, if thoughtfully employed, may serve a therapeutic function
when failure to respond appropriately to situational demands reflects un-
willingness rather than inability. This is dramatically illustrated in a tell-

ing sequence from a film depicting the language learning program

(Lovaas, 1966b). A therapist repeatedly asks a girl to name the color
of a yellow crayon, to which she responds with increasingly bizarre arm-
flapping and peculiar grimacing. Finally, the girl is slapped on the thigh,
and instructed to name the color, whereupon she abruptly ceases the
bizarre behavior and calmly answers, "Yellow." As a further means of
augmenting and sustaining the child's attentiveness to modeling cues, food
rewards, expressions of affection and social approval are made contingent
upon imitation.
If children's behavioral repertoires are impoverished, their behavioral
reproductions may bedeficient even though they pay close attention to
modeling cues, because the requisite components for the modeled re-
sponses are lacking. In such cases complex patterns of behavior must be
reduced to small subunits of behavior, each of which is established
through modeling. Poorly designed learning sequences, which result in
stressful failure experiences, jeopardize attentional control by reducing
the child's motivation to observe the modeled responses and by arousing
disruptive escape behaviors. To obviate this problem modeled responses
are carefully graduated in complexity to assure the child a high degree
of success in behavioral reproduction.
In teaching autistic communicative speech a modeling-
children
reinforcement procedure employed in which the therapist displays pro-
is

gressively more complex forms of verbal behavior and rewards increas-

ingly closer reproductions of the modeled responses. In teaching a mute
first rewards any visual attentive-
child to talk, for example, the therapist
ness and random sounds made by the child. When vocalization has been
increased, the therapist utters a sound and the child is rewarded only if
he produces a vocal response within a certain time limit. After the thera-
pist'sspeech is established as an effective stimulus for the child's vocaliza-
tions, he is reinforced only for precise verbal reproduction of specific
sounds, words, and phrases modeled by the therapist. By this method
children are first taught elementary sounds that have pronounced visual
components and can be manually prompted, and then, in a stepwise fash-
 154 MODELING AND VICARIOUS PROCESSES

BYE-BYE
ARM
BUBBLE
NiGHT
CORN
HAT
RUN
GO
COOKIE
HAIR
HAND
MAMA
MOMMY
MY
MILK
ME
MEAT
MORE
NO
WHY
BREAD
BOTTLE
TA
BED
BILLY
DOLL
DA
DADDY
BOY
BALL
(BLOW)
we we we WE
E_
oo oo oo oo oo OO
baby baby baby baby baby BABY
10 11 12 13 14 15 16

Figure 3-5. Rate of verbal imitation by a previously mute autistic child during
the first 26 days of training. The words and sounds are printed in lower case

letters on the days they were introduced and trained, and in capital letters on
the days they were mastered. Lovaas, Berberich, Perloff, & Schaeffer, 1966.

ion, more complicated utterances and combinations of words are added.

Essentially similar methods for establishing verbal imitativeness are de-
scribed in considerable detail by Risley & Wolf ( 1967 ) in the treatment
of autistic children,and by Sloanc, Johnston, & Harris (1968) in reme-
dial programs for speech-deficient young children.
As exemplified by a case illustrated in Figure 3-5, it may require sev-
eral days for an autistic child to master the first word, but subsequent
imitative word learning generally proceeds at a comparatively rapid rate.
The fact that the establishment of two sounds and one verbal response is
accompanied by immediate production of many new words composed of
elements that were never directly trained indicates that autistic children
possess greater linguistic competencies and comprehension of grammat-
ical features than is commonly believed. One would expect some lan-
guage acquisition to occur through observational learning as a function
of extensive exposure to grammatical speech. The absence of verbal
behavior in autistic children may, therefore, partly represent a motiva-
Establishment of New Response Patterns through Modeling 155

100

Time contingent Response

contingent
Half-Hour Sessions

Figure 3-6. Percentage of modeled responses correctly and incorrectly repro-

duced by an autistic child during periods when rewards were made contingent
upon matching perfectly the adult's speech (response contingent) or the elapsing
of a certain amount of time (time contingent). Lovaas, 1967.

tional rather than a behavioral deficit. The question remains as to

whether the abrupt rise in productivity results from children's acquisi-
tion of a modeling set, from realization that oppositional tactics have be-
come nonfunctional, or some other factors.
Lovaas also provides some evidence to indicate that, during the
initial phase of imitation training, extrinsic incentives may be essential

for accurate observation and reproduction of the therapist's performances.

Children displayed a high level of accurate imitative responsiveness when
rewards were made contingent upon matching the adult's speech per-
fectly; by contrast, when children were equally generously rewarded after
a certain time had elapsed without regard to the quality of their verbali-
zations, their imitative behavior progressively deteriorated until it bore
littleresemblance to the model's responses (Figure 3-6). However, in
later stages of treatment, similar shifts from response- to time-contingent
reinforcement did not adversely affect modeling outcomes.
When children are able to imitate new words they are taught a label-
ing vocabulary so that they understand what the words mean. This is
achieved through a form of paired-associate learning in which the thera-
156 MODELING-AND VICARIOUS PROCESSES

pist presents an object

(e.g., glass of milk) or models an activity (e.g.,
claps hands) and simultaneously provides the correct verbal label. On
succeeding trials the adult's verbal prompt is gradually withdrawn until
eventually the child gives correct verbal responses to the nonverbal events
alone. In thisway a wide variety of object-word associations are learned
and discriminated. Reading skills are established in a similar manner
except that letter-picture and letter-word associations are presented to
the children until they learn to make the appropriate verbal responses to
printed words in the absence of pictorial or vocal prompts.
After children have been taught to speak and to 'correctly label com-
mon objects and activities, training in abstract linguistic functions begins.
This program consists essentially of rewarding the child's discriminative
responsiveness to verbally or behaviorally modeled events. Whenever the
child fails to respond or responds incorrectly he is aided by verbal and
manual prompts which are gradually faded out on succeeding trials.

Prepositional training will illustrate the basic discriminations that are de-
veloped. Behavioral matching of a verbal stimulus can be more easily
achieved by autistic children than verbally labeling nonverbal events.
Therefore, initially the adult gives a verbal instruction involving a prepo-
sition (e.g., "Put the ball inside the box")" and the child is rewarded

for performing the motor response appropriate to the verbal stimulus. If

the child fails to execute the response correctly, the therapist moves the
child's hand with the
ball to the box while verbalizing the action. In the
second discrimination, objects are arranged in a particular way and the
child is asked to describe verbally the relationships between the objects,
using the proper preposition. In the third step, which calls for grammati-
cal conversation, the child responds verbally to a verbal stimulus (e.g.,

"Where did I put the bicycle?") without concomitant behavioral enact-

ment of the events to which reference is made. As in other forms of rule
learning, children are taught to generalize the linguistic rule by modeling
a variety of objects in a variety of prepositional relationships. Essentially
the same procedures have been successfully employed to establish in-
creasingly complex forms of linguistic and conceptual behaviors ( Lovaas,
Berberich, Kassorla, Klynn, & Meisel, 1966; Lovaas, Dumont, Klynn, &
Meisel, 1966). In the case of echolalic children, inappropriate matching
responses are extinguished through reinforcement withdrawal, but other-
wise the training program is similar to that employed with mute cases.

However, since echolalic children have already developed imitative

speech, they start at a more advanced level and proceed at a much faster
rate.
Formal language training is well suited for establishing verbal skills,

but it may result in speech that is lacking in spontaneity and overly de-
Establishment of New Response Patterns through Modeling 157

pendent upon specific external cuing. To remove this problem, after the
requisite skills for generative grammatical speech have been established,
children are taught to use their language to initiate and maintain social
interactions, to express their feelings and desires, and to seek and ex-
change information about their environment. Self-generated spontaneous
speech is initially fostered in several ways. First, by withholding desired
objects and activities until children verbalize their wants, they are taught
to influence and control their environment verbally; second, they are
encouraged to develop comments and stories about activities depicted
pictoriallv in magazines and books and are rewarded for increasingly
elaborate and novel verbalizations; third, they are asked to recount, in
detail, past experiences; and finally, the concepts that they have learned in
the formal tasks are extended into informal daily interactions. Indeed, as
treatment progresses the formal training procedures are incorporated into
more natural interpersonal interactions, where verbal approval, affectional
expressions, plav activities and a sense of accomplishment replace primary
rewards as major reinforcing events.
Self-care skills, plav patterns, appropriate sex-role behaviors, intellec-
tual and interpersonal modes of behavior can be established in
skills,

autistic children more rapidly than linguistic patterns by modeling the

appropriate activities and rewarding the children's emulations (Lovaas,
Freitag, Nelson, & Whalen, 1967). The training program in nonverbal
behavior relies upon the same basic methods employed in language
learning. The therapist first establishes control over children's attending
behavior; complex response patterns are gradually elaborated by model-
ing activities in small steps of increasing difficulty; manual prompts are
utilized if children fail to respond. The prompts are gradually withdrawn
and reinforcement for prompted behavior is later withheld to counteract
passive responsiveness. After imitative behavior is strongly developed,
stimulus control of children's behavior from modeling cues to
is shifted
verbal prompts and appropriate environmental stimuli. Children may, for
example, initially engage in painting activities only when they are
modeled by an adult, but by reinforcing painting in response to verbal
suggestions and art materials they eventually learn to pursue such activi-
ties without requiring a performing model.

The encouraging results of the project described above would suggest

that a modeling-reinforcement approach merits serious consideration in
the treatment of schizophrenic disorders. Since the beneficial outcomes
are achieved with nurses, parents, and college students serving in the role
of therapists, this treatment approach gains further social significance.
However, evidence that children vary tremendously in their rates of learn-
ing, particularly in early stages of training, indicates the need for com-
158 MODELING AND VICARIOUS PROCESSES

parative studies to evolve procedures that would permit even greater

control over the change process. For example, discrimination of modeling
stimulus inputs is an important prerequisite to their acquisition. In the
case of language learning, a brief program of discrimination pretraining
may greatly accelerate modeling outcomes and reduce variability result-
ing from deficiencies in speech perception.
For children who do not know the meanings of modeled utterances,
word reproduction is apt to be a dull and tiresome exercise. A preliminary

program aimed at producing word comprehension would make the situ-

ation more meaningful and perhaps facilitate productive word learning.
A sequence similar to this type has been employed by Humphery (1966)
in developing language functions in autistic children. As a way of ensuring
necessary attentiveness, children are seated in a semi-darkened room and
equipped with earphones. In the initial language comprehension phase of
the program children see pictures of objects projected on a screen and
hear the corresponding verbal labels without having to reproduce them.
After the word-object association has been repeated sufficiently to estab-
lish the meanings of the utterances, children are reinforced for correct

production of modeled verbalizations. Generalization and discrimination

are not left to chance: Thus, children may first see a dog as the focal
object of a slide, but later it is presented as part of increasingly complex
arrays of animals that will have to be accurately discriminated. By includ-
ing pictures or demonstrations representing actions, qualifying attributes,
and object interrelationships the same procedure can be extended to de-
velop increasingly complex linguistic skills. Humphery has also found it

advantageous to include samples of the children themselves and their

peers pursuing activities in their natural surroundings, because the im-
mediacy of these stimuli make them especially vivid and compelling
inputs. This approach is similar in many respects to language learning
under naturalistic where children observe a considerable
conditions
amount of verbal behavior before they are taught to produce words and
grammatical sentences. However, the optimal sequences for word and
meaning training remain to be demonstrated.
Except for a few minor applications (Sherman, 1965; Wilson & Wal-
ters, 1966), there has been no systematic use of modeling procedures in

the treatment of adult psychotics. This is all the more surprising con-
sidering that a majority of the chronic cases suffer from debilitating be-
havioral deficits which must be overcome if they are to function effec-
tively in community life. The relative neglect of this powerful approach
probably results in large part from therapists' strong allegiances solely to
operant conditioning methods or to interview procedures in which a great
deal of time is devoted to analyzing patients' ineffectual behaviors.
Establishment of New Response Patterns through Modeling 159

MODIFICATION OF PREPOTENT RESPONSE PATTERNS

THROUGH SYMBOLIC MODELING
The discussion thus far has been concerned with the use of modeling
procedures to overcome behavioral deficits. In many instances, a change
agent is faced with the opposite problem —that of eliminating strongly
established patterns of deviant or maladaptive behavior. One might at-
tempt to accomplish this objective by a program of differential reinforce-
ment, in which socially desirable behavior is positively reinforced and
deviant response patterns are either nonrewarded or punished. Selective
reinforcement is often a slow and inefficient process when a person dis-
plays a strong dominant response tendency and desired alternative modes
of behavior are only weakly established or nonexistent in his behavioral
repertoire. Under these circumstances, one may have to wait an unneces-
sarily long or indefinite time for the appearance of alternative responses.
In such cases, the change process may be greatly facilitated by the use
of modeling procedures designed to transmit, elicit, and support modes
of response that are incompatible with the deviant behavior that a thera-
pist is attempting to eliminate. This, in effect, was the strategy employed
by Chittenden (1942) in modifying children's hyperaggressive and domi-
neering responses to frustration.
It has been widely assumed on the basis of psychodynamic theories
and energy models of personality that either vicarious participation in,
or the direct expression of, aggressive behavior serves to discharge
"pent-up energies and affects" and thereby to reduce, at least temporarily,
the incidence of aggressive behavior. Guided by this catharsis theory,
many parents, educators, rehabilitation workers, and child psychothera-
pists subtly or openly encourage hyperaggressive children to express ag-
gression in one form or another. The overall evidence from laboratory
studies (Bandura, 1965a; Berkowitz, 1969) strongly indicates that psycho-
therapies employing these conventional cathartic or abreactive procedures
may be unwittingly maintaining deviant behavior at its original strength
or, more likely still, increasing it rather than producing the expected
reductions in aggressive tendencies. In contrast, therapy based upon
social-learning principles would concentrate, from the outset, upon devel-
oping and strengthening constructive alternative patterns of behavior.
Proceeding on this basis, Chittenden employed symbolic modeling pro-
cedures for altering children's aggressive reactions to frustration.
Children who were excessively domineering and hyperaggressive ob-
served and discussed a series of eleven 15-minute plays in each of which
dolls, representing preschool children, exhibited an aggressive solution
and a cooperative, alternative solution to interpersonal conflicts under
circumstances that the children were likely to encounter in everyday in-
 .

160 MODELING AND VICARIOUS PROCESSES

18

16

14

v>

| ,2
o
Q.
c/J
Q)
DC 10
O
a>

i 8

2 h

Pre -Test Post -Test

Cooperation
Follow up Pre -Test Post -Test
Domination

Figure 3-7. Amount of cooperative and domineering behavior exhibited by

L
Follow up

hyperaggressive children before and after receiving symbolic modeling treat-

ment. Drawn from the data of Chittenden, 1942.

teractions. In addition to modeling these two competing response pat-

terns, the consequences of aggression were shown to be unpleasant and
those of cooperativeness to be rewarding. In one of the modeled situa-
tions, for example, two boys engage in a fight over the possession of a
wagon; during the struggle the wagon is broken, and both boys end up
unhappy. By contrast, the cooperative alternative presents the boys enjoy-
ing themselves as they take turns playing with the wagon.
Children for whom the different reactions and consequences were
modeled showed a decrease in dominative aggressiveness (as measured
by situational tests in which two children were placed in a room with a
single attractive toy) compared with a group of similarly hyperaggressive
children who received no treatment. Of even greater interest is the finding
that children who had observed the discriminative modeling displayed a
significant decrease in domination and an increase in cooperativeness as
assessed from behavior observations in the nursery school made prior to
treatment, immediately after treatment, and a month later ( Figure 3-7 )
One cannot determine from these data the relative contribution of vicari-
ous reinforcement and modeling to the obtained outcomes. The children's
spontaneous comments and enactments during test trials, in which they
Establishment of New Response Patterns through Modeling 161

were required to provide their own solutions to social conflicts involving

the dolls, indicated that they had learned the cooperative strategies.
Some, however, gave evidence of also being strongly affected by the con-
sequences depicted: "Well, let's don't have them fight; I don't like to
have them bump their faces together, that hurts. . . . Let's have them
take turns; then they won't fight. Let them ask Darrell (subject's name)
what to do. 'Askme, Sandy and Mandy (dolls' names). I'll tell you to
take turns; then you won't have a fight' (Chittenden, 1942, pp. 53-54)."
In a preliminary report Gittelman (1965) illustrates how behavioral
enactment methods can be adapted for modifying aggressive behavior in
older children. They are first asked to describe situations that typically
provoke them to aggression and belligerence. A hierarchy of irritating
situations is then constructed, ranging from those causing only mild an-
noyance to extremely instigatory ones. The child and other group mem-
bers enact these progressively aggravating situations and practice effective
nonviolent means of coping with them.
The treatment program devised by Chittenden primarily relied upon
modeling techniques. After desired patterns of behavior have been estab-
lished through some form of modeling, their maintenance will be largely
controlled by the reinforcement practices existing within the naturalistic
setting. Hence, it may be necessary to arrange favorable consequences to
support newly acquired response patterns. This would apply particularly
to behavior that is ordinarily associated with less optimal reinforcement
conditions, as in the case of cooperativeness which was more difficult to
establish and to maintain. The combined use of modeling and reinforce-
ment procedures is probably the most efficacious method of transmitting,
eliciting, and maintaining social response patterns.

There is additional evidence that symbolic modeling approaches, in

which desired response patterns are demonstrated concretely through
play activities, may be especially well suited for modifying the behavior
of young children, Marshall & Hahn (1967) showed that preschool
children who participated in several sessions of doll play with an adult
who enacted topics commonly used in children's play subsequently in-
creased their dramatic play with peers in daily interactions. The absence
of any significant changes in the play behavior of control groups of
children who either received the same amount of adult warmth and atten-
tion during the assembly of blocks and puzzles or had no contact with the
adult indicates that modeling and support of social play behavior was
the major determinant.
The foregoing studies way in which the same method, doll
illustrate the
play, is ways depending upon whether one
utilized in radically different
views behavior from a psychodynamic or a social-learning perspective. In
the former case, children are typically prompted to enact in doll play
162 MODELING AND VICARIOUS PROCESSES

assaultive and other negative response tendencies toward parents, teach-

ers, siblingsand peers which, if transferred to real life situations, would
further exacerbate their problems. In contrast, the latter approach pro-
vides more satisfactory solutions to interpersonal conflicts and models
beneficial modes of behavior that are likely to foster positive social ex-
periences.
Results of a study by O'Connor (1969) involving positive symbolic
modeling lend further empirical support to the above view. Preschool
children were selected who showed extreme social withdrawal, a behav-
ior problem that often reflects both deficits in social skills and fear of
close interpersonal contact. Half of these children were shown a control
film, while a matched group of isolates observed a sound film depicting a

variety of social interactions at a progressively more spirited activity level.

Each filmed sequence portrayed a child initially watching the ongoing
activities at a distance but eventually joining and interacting with the
children, with evident positive consequences. In a behavioral assessment
conducted immediately after the treatment session the controls remained
markedly withdrawn, whereas children who received the symbolic model-
ing showed a substantial increase in social interaction to the baseline
level displayed by nonwithdrawn children (Figure 3-8). With the provi-

12 Symbolic modeling

Control condition

Nonisolate baseline

10

Pre -Test Post -Test

Figure 3-8. Amount of social interaction shown by withdrawn children in the

symbolic modeling and control conditions before and after the experimental
sessions. The dotted line represents the amount of social interaction displayed
by a group of nonisolate children whose behavior was observed at the pretest
phase of the study. O'Connor, 1969.
Establishment of New Response Patterns through Modeling 163

sion of adequate practice and reinforcement of newly established social

skills, such behavior would undoubtedly assume greater functional value
and endure.

OTHER THERAPEUTIC AND INSTRUCTIONAL APPLICATIONS

OF MODELING

Applications of modeling procedures are by no means confined to chil-

dren or to grossly deviant conditions. Behavioral enactment methods are
frequently utilized for a wide variety of purposes in which people who
want to develop new competencies are provided with actual or symbolic
models of desired behavior. They are given opportunities to perform
these patterns initially under nonthreatening conditions before they are
encouraged to apply them in their everyday lives.modeling
Since, in
approaches, a person observes and practices alternative ways of behaving
under lifelike conditions, transfer of learning to naturalistic situations is
greatly facilitated.
Some treatment approaches, such as Kelly's (1955) fixed-role therapy,
rely almost exclusively upon modeling procedures. In the initial phase
the therapist writes a personality sketch suitable for enactment by the
client. He is then asked to perform the role behaviors continuously as if

he were, in fact, the person portrayed in the sketch. For example, a pas-
sive nonassertive person may be assigned an active assertive role. The new
behavioral patterns, which are usually in marked contrast to the client's
customary modes of responses, are consistently enacted for several weeks
or some other preselected period. This phase of the program is structured
to the client as representing brief experimentation with, rather than per-
manent adoption of, new characteristics. Moreover, the client is never
told that he should be the new character, only that he should act like
him on a trial basis. The emphasis on brief experimentation and simula-
tion is considered essential for minimizing the initial threat of making
sweeping changes in one's mode of life.
Prescribing a role by itself will be of limited value unless a person
knows how to translate it into concrete actions under a variety of circum-
stances. In Kelly's approach the treatment sessions, usually scheduled on
alternate days, are mainly devoted to rehearsing the prescribed role as
it might apply to everyday events involving vocational and social relation-

ships, heterosexual interactions, parental relations, and life orientations.

Therapist and client usually alternate in the role enactment. Through such
role-reversal the client not only benefits from the therapist's demonstra-
tion of skillful ways of relating to others, but he also experiences how
people are likely to be affected by the behaviors being modeled.
After new forms of responsiveness to different types of interpersonal
164 MODELING AND VICARIOUS PROCESSES

situations have been adequately rehearsed, and the client's actual experi-
ences in implementing the role have been thoroughly discussed, the
client decides whether or not he wishes to adopt the new role behaviors
on a more lasting basis. If he has found the new role effective and wishes
to go on with the program the behavioral rehearsals are continued as
long as necessary. With further experience the client becomes increasingly
skillful and comfortable in the new role behaviors until eventually they

are spontaneously performed.

Although there is every reason to expect from evidence of modeling
studies that the type of approach advocated by Kelly should be highly
have been no systematic attempts made to measure the
efficacious, there
degree of success associated with this particular method. Research is
also needed to determine whether the recommended practices the selec- —
tion of markedly contrasting behavior that is continuously enacted under
a simulated set in all areas of social functioning — are, in fact, the optimal
conditions for establishing new role behaviors. Desired outcomes might
be more consistently attained by gradual role adoption in progressively
more difficult social situations than by complete role enactment from the
outset. Under a graduated procedure the behavioral requirements would
be adjusted to the client's capabilities at any given time and would hence
reduce the possibility that his initial attempts at new ways of behaving
would be poorly received by others. By careful selection of both the real-
life situations in which the client enacts new modes of behavior and the

manner in which they are expressed, the likely consequences of modeled

behavior can be controlled to a considerable extent rather than left to
fortuitous circumstances.
There are many other treatment approaches in which modeling tech-
niques, variously labeled psychodramatic enactment (Moreno, 1958;
Sturm, 1965), behavior rehearsal (Lazarus, 1966; Wolpe & Lazarus, 1966),
and role playing (Corsini & Putzey, 1957) are employed to overcome
specific response deficits or to transmit more extensive repertoires of
social behavior. Modeling in the form of role practice has also been
extensively adapted for training of industrial and managerial skills ( Cor-
sini, Shaw, & Blake, 1961). Strategies to be followed in implementing

modeling principles are presented in strong prescriptive terms and the

methods are credited with much success, but as is generally true of the
psychotherapy literature, rigorously controlled studies of outcomes are
virtually nonexistent.
The efficacy of modeling approaches will be largely determined by
what is being enacted. If change agents mainly encourage clients to
perform their customary ineffectual forms of behavior, to reconstruct past
relationship experiences, and to revivify the emotional reactions en gen-
Establishment of New Response Patterns through Modeling 165

dered by their inadequacies, then these methods are unlikely to fare any
better than interpretive interview approaches that similarly accentuate
the negatives. On the other hand, treatment approaches that employ
modeling procedures to establish effective modes of behavior often lack
an adequate transfer training program in which clients are provided
with opportunities to test their newly acquired skills under conditions
likely to produce rewarding consequences. If change agents themselves
portray requisite interpersonal competencies, and arrange optimal con-
ditions for their clients to learn and to practice more effective means of
coping with potential problems, then this type of approach is almost
certain to prove successful.
Before turning to other issues we should like to comment briefly on
the nature of the effects produced through modeling processes. When
people are deliberately instructed to observe and to reproduce either the
behavior exemplified by others or an imaginatively reconstructed role,
there may be a tendency to view the resultant changes as feigned and
superficial. In fact, as will be shown in the concluding chapter, role
enactment techniques have proved to be one of the most effective means
of inducing stable affective and attitudinal changes. These findings pro-
vide support for the view that self-evaluative and cognitive events may be
partly epiphenomena arising from one's competencies and the conse-
quences of one's behavior. Modeling, even under simulated conditions,
can have far-reaching effects.

MODELING PROCESSES IN INTERVIEW PSYCHOTHERAPIES

It is generally assumed that personality modifications in conventional
verbal treatments are achieved in part by clients' identification with their
psychotherapists. However, as Mowrer (1966) has noted, therapists char-
model a very limited range of social behavior, and what
acteristically
they do exemplify most prominently may have little utilitarian value for
clients. The paucity of helpful modeling cues applies particularly to treat-
ment approaches that advocate a behavioral incognito in which therapists'
feelings, personal opinions, and social responses are exhibited as little as
possible in order to facilitate the occurrence of infantile transference reac-
tions.To the extent that therapists' taciturnity and interpretive behaviors
are mimicked by clients in their social relationships, as is not infrequent,
they are apt to be considered as bores or pests. In contrast to conventional
practices that invoke some degree of therapist ambiguity and conceal-
ment, Mowrer advocates that therapeutic agents actively model what
their clients are supposed to learn and arrange conditions that will foster
identificatory outcomes. Hence, in integrity therapy (Drakeford, 1967;
Mowrer, 1964), which is designed to get clients to recognize that they
166 MODELING AND VICARIOUS PROCESSES

are partly accountable for their life situations because of their objection-
able and duplicitous behavior, the therapist himself consistently models
self-disclosure and personal accountability.
During the course of conversational treatment some of the therapists'
attitudes and personal preferences are inevitably revealed through their
selective responsiveness and interpretive comments (ParlofI, Iflund, &
Goldstein, 1960). These inferred attitudes are likely to be emulated by
clients even though therapists -may strive to maintain neutrality in the
value domain. Some suggestive evidence of this effect is reported by
Rosenthal (1955) who found that clients who were judged as showing
greatest clinical improvement changed their values in the areas of sex,
aggression and authority in the direction of their therapists' values
whereas clients who were rated unimproved became less like their
therapists. The occurrence of value congruences during the course of
therapy is shown by Pentony (1966). It cannot be determined from
also
these data, however, whether the value similarities are attributable to
modeling or to differential reinforcement of clients' verbalizations; un-
doubtedly both kinds of influence processes are operative.
There have been several recent demonstrations that the classes of
responses that traditional psychotherapists are interested in modifying
can be significantly influenced by modeling procedures. Schwartz &
Hawkins (1965) found that adult schizophrenics whose emotional state-
ments were positively reinforced in group therapy increased affective
expressions when their group was provided with two patient models who
frequently verbalized their feelings; under the same reinforcement con-
ditions affective responsiveness was decreased when the added models
displayed predominantly nonaflective verbalizations. Marlatt, Jacobsen,
Johnson, & Morrice (1966) found that interviewees were more inclined
to reveal personal problems after witnessing a brief waiting-room conver-
sation in which a model's self-disclosure was either accepted or socially
rewarded by the interviewer than if the model's behavior was discouraged
or subjects had no exposure to a problem-admitting model.
One of the obstacles to efficient conduct of interview therapy arises
from the fact that clients are usually confused about what they are sup-
posed to do in order to achieve beneficial effects, and verbal explanations
inadequatelv convey the requisite role behaviors. This ambiguity can be
easily overcome by providing clients with concrete examples of appro-
priate therapeutic responsiveness (Marlatt, 1968a, 1968b). In several
studies Truax and his colleagues (Truax & Carkhuff, 1967) demonstrated
that clients who listened to tape-recorded excerpts exemplifying self-

exploration (considered to be "good" therapy behavior) prior to under-

going treatment subsequently achieved greater positive changes on a
Vicarious Conditioning of Emotional Responsiveness 167

variety of personality tests than did clients who received the same type
of treatment without the initial modeling experience.
The foregoing studies indicate that modeling procedures can be suc-
cessfully employed to induce changes in verbal behavior. However, con-
sidering the weak relationships that exist between alterations at the verbal
—
level whether in the form of value preferences, verbal statements, or
—
endorsements of personality test items and nonverbal modes of response,
it would seem that models could be used far more advantageously to

promote effective interpersonal behaviors directly.

Vicarious Conditioning of Emotional Responsiveness

It is generally assumed that persons develop emotional responses on

the basis of direct painful or pleasurable stimulation experienced in asso-
ciation with certain places, people, or events. Although many emotional
responses are undoubtedly acquired by means of direct classical condi-
tioning, affective learning in humans frequently occurs through vicariously
aroused emotions. Many phobic behaviors, for example, arise not from
actual injurious experiences with the phobic objects, but rather from
witnessing others either respond fearfully toward, or be hurt by, certain
things (Bandura, Blanchard, & Bandura & Menlove, 1968).
Ritter, 1968;
Similarly, persons often acquire, on the basis of exposure to modeled
stimulus correlations, intense emotional attitudes toward members of
unpopular minority groups or nationalities with whom they have had
little or no personal contact.

As suggested above, vicarious emotional conditioning results from

observing others experience positive or negative emotional effects in
conjunction with particular stimulus events. Both direct and vicarious
conditioning processes are governed by the same basic principle of asso-
ciative learning, but they differ in the source of the emotional arousal.
In the direct prototype, the learner himself is the recipient of pain- or
pleasure-producing stimulation, whereas in vicarious forms somebody
else experiences the reinforcing stimulation and his affective expressions,
in turn, serve as the arousal stimuli for the observer. This socially medi-
ated conditioning process thus requires both the vicarious activation of
emotional responses and close temporal pairing of these affective states
with environmental stimuli.

VICARIOUS EMOTIONAL AROUSAL

Experimental investigations of this phenomenon have been concerned

with determining the factors that govern the degree to which people
become emotionally aroused by the experiences of others. Some of the
168 MODELING AND VICARIOUS PROCESSES

studies have attempted to identify the social cues that are most influ-
ential in producing vicarious arousal, while still others have been designed
to elucidate the social-learning conditions whereby social cues become
endowed with emotion-eliciting potency.
One of the earliest studies of vicarious affective arousal was reported
by Dysinger & Ruckmick (1933), who measured the autonomic responses
of children and adults to movie scenes depicting dangerous situations and
romantic-erotic displays. The findings showed that scenes of danger, con-
flict, or tragedy elicited the greatest emotional reactions among young
children, but responsiveness decreased progressively with increasing age.
The inverse relationship obtained was attributed to the greater ability of
older persons both to discriminate between fantasied and realistic situa-
tions and to attenuate the aversiveness of danger cues by forecasting
eventual favorable outcomes. As would be expected, emotional reactions
to erotic scenes were stronger among subjects in older age groups.
More recent demonstrations of vicarious emotional instigation through
filmed stimulation is provided in a series of experiments by Lazarus and
his associates (Lazarus, Speisman, Mordkoff, & Davison, 1962). Con-
tinuous recordings of subjects' autonomic responses were obtained during
presentation of a film portraying a primitive puberty ritual of an Aus-
tralian tribe in which a native boy underwent a crude 4
genital operation.
College students displayed heightened autonomic responsiveness while
viewing the genital subincision scenes, the reactions being particularly
marked when the operation was accompanied by sobs and other pain
cues on the part of the young initiate*. Both the deletion of the vocal pain
cues and the provision of sound-tract commentaries that minimized the
aversiveness of the depicted operation significantly reduced the subjects'
level of emotional arousal; conversely, commentaries highlighting the
suffering and hazards of such operations enhanced observers' physiological
arousal (Speisman, Lazarus, Mordkofl, & Davison, 1964).
In an erudite analysis of vicarious processes, Berger (1962) restricts
the phenomenon of vicarious instigation to situations in which an observer
responds emotionally to a performer's presumed affective experiences.
Since the emotional state of another person is not directly observable, its

presence, quality, and intensity is from stimuli

typically inferred both
impinging upon the performer, and behavioral cues indicative of emo-
tional arousal. As Berger points out, a person may be vicariously instigated
on the basis of erroneous inferences from stimulus events, as in the case
of a mother who responds fearfully at seeing her child fall, even though
the child is, unhurt and undisturbed. Similarly, a bystander may
in fact,
react apprehensively to hearing a sudden loud scream although, unknown
to him, the distressing vocalizations are simulated as part of a game.
Berger has reasoned that a loud scream that elicits a fear response
Vicarious Conditioning of Emotional Responsiveness 169

from the observer may represent a case of pseudovicarious instigation,

because the vocal cue may serve merely as a conditioned fear stimulus
independent of the performer's unconditioned emotional response or the
stimulus situation. The basis for this distinction is debatable, since ex-
pressive cues are the observable indicants of a performer's assumed
emotional state and, as will be shown because such
later, it is precisely

social cues have acquired emotion-provoking properties that an observer

can be at all vicariously aroused by the experiences of another person.
There are, however, instances in which covariations in the emotional
responses of observers and performers do not necessarily involve vicarious
instigation processes. After a given environmental stimulus has acquired
strong eliciting potency for an observer, his emotional responses are likely
to be evoked directly by the conditioned stimulus, regardless of the
behavior of others. Thus, for example, when individuals become fearful
upon hearing the sound of a fire alarm in the building in which they
are working, they may be responding similarly, because of like condi-
tioning histories, but independently to the same nonsocial cue. Under
these circumstances it is exceedingly difficult to establish precisely the
stimulus sources of the observer's emotional state since the behavior of
others, depending on its character, undoubtedly augments or reduces the
effects of environmental eliciting stimuli. The most convincing demon-
stration of vicarious instigation is therefore provided under conditions
where the observer's emotional responses are elicited entirely by the
performer's affective expressions. Such conditions are established by ensur-
ing that the stimuli which elicit emotional responses in the performer
either are unobservable by, or of neutral valence for, the observing sub-
ject.

Miller and his colleagues ( Miller, Banks, & Ogawa, 1962, 1963; Miller,
Murphy, & Mirsky, 1959) have identified, through the use of an ingenious
cooperative avoidance-conditioning procedure, some of the social cues
that serve as conditioned stimuli for affective arousal in observers. Rhesus
monkeys were first trained to avoid an electric shock by pressing a bar
whenever a stimulus light appeared. After the avoidance training, the
animals were seated in different rooms, and the bar was removed from
the chair of one monkey and the stimulus light from the other. Thus, the
animal having access to the light stimulus had to communicate by means
of affective cues to his partner, equipped with the response bar, who could
then perform the appropriate instrumental response that would enable
both animals to avoid painful stimulation. Distress cues exhibited by the
stimulus monkeys in anticipation of shock were highly effective in eliciting
fear in their observing companions as reflected in increased heart rate and
rapid performance of discriminated avoidance responses (Miller, 1967).
The finding that color slides showing the stimulus animal in fear or pain
170 MODELING AND VICARIOUS PROCESSES

elicited more avoidance responses than pictures of the same animal in

nonfearful poses indicates that simple facial and postural expressions
alone are sufficient cues for eliciting emotional responses. The investiga-
tors further showed that emotional responses in monkeys could be vicar-
iously aroused not only by the sight of their experimental counterparts,
but also, through stimulus generalization, by another monkey who was
never involved in the original aversive contingencies. Moreover, mere
exposure to a monkey reacting in an apprehensive or fearful manner
could reinstate avoidance responses in the observer after they had been
extinguished to a zero level.
The above studies demonstrate that affective expressions by others
can serve as conditioned aversive stimuli, but they do not explain how
such cues acquire their potency. That sensitivity to expressive cues results
from social-learning experiences receives support from Miller, Caul, &
Mirsky (1967), who found that monkeys reared in total social isolation
during their infancy were unresponsive, either bchaviorally or autonomi-
cally, to facial expressions of emotions of other monkeys. There is evidence
that social cues signifying affective arousal acquire emotion-provoking
properties through essentially the same process of classical conditioning
that is involved in the establishment of positive or negative valence for non-
social environmental stimuli. That is, if affective expressions of others
have been repeatedly followed by emotional consequences for observers,
affective social cues alone gradually attain the power to instigate emo-
tional reactions in observers. In naturalistic situations such emotional
covariations occur frequently. Persons who are experiencing positive emo-
tions are likely to treat others in amiable ways which arouse in them
pleasurable affects; conversely, when persons are dejected, ailing, dis-
tressed, or angry, others are also likely to suffer negative consequences.
The clearest demonstrations of how vicarious responsiveness is established
are furnished by laboratory studies with infrahuman subjects in which
the requisite social and temporal contingencies are instituted.
Church ( 1959 ) subjected groups of rats either to paired aversive con-
sequences or unpaired consequences, or assigned them to a control condi-
tion inwhich no aversive stimuli were presented. In the paired-conse-
quences condition animals were administered brief shocks after another
rat had been shocked for 30 seconds, with the aversive stimulation to
both animals terminating simultaneously. Animals in the unpaired-conse-
quences condition received the same number of brief shocks, but these
were not temporally associated with painful stimulation to another rat.
Following the emotional conditioning phase of the experiment vicarious
emotional arousal was measured in response to the pain reactions of
another rat that was continuously shocked in an adjacent cage. Animals
that had previously experienced paired consequences were markedly
Vicarious Conditioning of Emotional Responsiveness 111

affected by the pain responses of another rat; the control group showed
little empathetic responsiveness; and animals whose past distressing
experiences were unassociated with the pain responses of another mem-
ber of their species showed an effect intermediate between the two
groups.
Conditioning in humans is frequently mediated through self-generated
symbolic stimulation, which also plays an influential role in vicarious
responding (Bandura & Rosenthal, 1966; Stotland, Shaver, & Crawford,
1966). In personality theory vicarious emotional arousal is typically dis-
cussed under the concept of empathy. Within the personality framework it

is generally assumed that an observer becomes empathetically aroused as

a result of intuiting the experiences and affective states of another person.
The research reported by Stotland indicates, however, that a somewhat
different process may be involved. Observers reacted more emotionally
to the sight of a person undergoing painful stimulation when they were
previously asked to imagine how they themselves would feel if they were
being hurt than when they were told to imagine how the other person
felt during the treatment. These findings suggest that modeled affective

cues produce vicarious arousal largely through an intervening self-stimu-

lation process involving imaginal representation of aversive or pleasurable
consequences occurring to oneself in similar situations.
Of the various interpersonal determinants of empathetic responsive-
ness the perceived similarity between model and observer has received
greatest attention. It has been generally found that perceived similarity
enhances vicarious arousal (Stotland, 1969), but why this should be so
has not been adequately established. A likely explanation could be put in
terms of outcome similarities. One would expect people who possess simi-
lar interests and characteristics to share many experiences and outcomes in
common. It is much easier for a person to imagine that the consequences
to individuals similar to himselfwould apply to him than to imagine the
same thing about the experiences of people with whom he has little in
common. Thus, for example, a person who often travels the airways is apt
to be more empathetically aroused upon hearing of fatalities resulting from
a commercial airplane accident than someone who never flies. This ex-
planation assumes that vicarious responsiveness is based upon active self-
arousal rather than automatic identification through similarity. Indeed,
if people who possess similar characteristics rarely experienced concordant
outcomes, they would most likely exhibit weak empathy. The relative
influence of personal similarity and outcome on vicarious
similarity
arousal could be best evaluated which similar people
by an experiment in
experience opposite consequences prior to the empathy test, whereas
dissimilar people encounter identical outcomes. It would be predicted
from social-learning theory that discrepant outcomes would override the
172 MODELING AND VICARIOUS PROCESSES

effects of personal similarity.The strongest empathetic responsiveness

would, of course, be expected to occur under conditions of high observer-
model similarity and analogous consequences.

VICARIOUS CLASSICAL CONDITIONING

In the preceding section we reviewed some of the conditions under

which emotional responses of a model, as conveyed through auditory,
facial, and postural manifestations, acquire the capacity to arouse emo-

tional responses in observers. In the case of vicarious classical condition-

ing, the observers' vicariously elicited emotions become conditioned,
through contiguous association, to formerly neutral stimuli. One of the
earliest laboratory investigations of this process was reported by Kriazhev
(1934), who conditioned one animal in each of seven pairs of dogs to
stimuli presented in conjunction with food or electric shock, while the
other member of the pair merely witnessed the procedure. The observing
dogs rapidly developed anticipatory salivary responses to the signal for
food, and conditioned agitation and respiratory changes to the signal for
shock. However, this brief report does not contain sufficient information
on the details of the experimental procedure to determine whether the
observers' reactions to the conditioned stimulus were tested in the absence
1

of the models.
Laboratory investigations of vicarious classical conditioning in humans
(Barnett & Benedetti, I960; Berger, 1962) typically involve the condi-
tioning of autonomic responses to neutral environmental stimuli through
observational experiences. In Berger's (1962) studies, for example, one
group of observers was informed that the performing model would receive
a shock whenever a light dimmed, the dimming of the light being in
each trial preceded by a buzzer. A second group of observers was in-
structed that the performer would make a voluntary arm movement
whenever the light dimmed but that he was receiving no aversive stimu-
lation. In two other conditions the model was supposedly shocked but
refrained from making arm movements, or the model was neither shocked
nor withdrew his arm. The measure of vicarious conditioning was the
frequency of observers' galvanic skin responses to the buzzer, which
served as the conditioned stimulus. Observers who were informed that
the model was receiving aversive stimulation and who witnessed the
model simulate pain responses by jerking his arm displayed a greater
degree of vicarious conditioning than observers in the other three groups.
In a further extension of socially mediated conditioning, Craig & Wein-
stein ( 1965 ) found that observation of a performer experiencing repeated
failure produces vicarious emotional arousal that becomes conditioned
to previously neutral environmental cues.
Although the phenomenon of vicarious conditioning has been clearly
 ~

Vicarious Conditioning of Emotional Responsiveness 173

demonstrated, people differ widely in the rate with which they develop
conditioned emotional responses observationally and in the stability of
the acquired responses. Since this process requires the observer to ex-
perience painful consequences vicariously, thereby producing affective
arousal, variables that influence an observer's general level of emotionality
are likely to enhance or retard vicarious learning. There is some evidence

(Bandura & Rosenthal, 1966) that emotional arousal is, indeed, a significant
determinant of vicarious conditioning, but the latter variables are not
related in a simple linear fashion. In this experiment groups of adults
observed another person undergoing aversive conditioning experiences
in which a buzzer sounded at periodic intervals and shortly thereafter
the model feigned pain, supposedly in response to having received pain-
ful electric shocks. Prior to the vicarious conditioning phase of the study,
the groups of observers were subjected to differential degrees of emotional
arousal manipulated both psychologically and physiologically through the
administration of varying doses of epinephrine, a sympathetic stimulant.
The frequency with which observers manifested conditioned galvanic
skin responses to the buzzer alone was found to be a positive function of
the degree of psychological stress (Figure 3-9). However, a monotonic
decreasing function is obtained when, in addition to situational stress,

80 Nonthreat ^—
Placebo injection •—
Placebo + shock threat #•—
70
Epinephrine, 0.2 cc •—
Epinephrine, 0.5 cc •»—
I 60
Q)
C
o
S 50

o 40 -

20

10 -

Acquisition Test trials Extinction

Phases of the Experiment

Figure 3-9. Mean percentage of GSRs exhibited by subjects during the ac-
quisition phase, in which the tone and model's pain cues occurred in close tem-
poral association, and during tests in which the formerly neutral tone was
presented alone to assess its conditioned aversive properties. The five treatment
conditions represent increasing degrees of affective arousal. Bandura & Rosen-
thal, 1966.
174 MODELING AND VICARIOUS PROCESSES

subjects experience increasing physiologically induced arousal. If it can

be assumed that the five treatment conditions represent incremental levels

of emotional arousal on a single dimension, then the combined results
suggest an inverted-U relationship between magnitude of arousal and
vicarious conditioning.
While the above study establishes a relationship between arousal
level and vicarious conditioning, the manner in which high arousal pro-
duces disruptive effects remains to be demonstrated. Subjects' reports
suggested that disruptive effects may, in part, be mediated by self-
generated competing responses designed to reduce the aversiveness of
the vicarious instigation situation. In some cases, this took the form of an
intensive focus on irrelevant external stimuli, to the exclusion of the
disturbing pain cues: "When I noticed how painful the shock was to him
I concentrated my vision on a spot which did not allow me to focus

directly on either his face or hands." Most observers attempted to decrease

the aversive stimulation arising from the model's pain reaction by con-
juring up competing cognitive activities: "I tried to be cool. I thought
about Latin verbs and about Latin composition." A few subjects, however,
marshaled considerably more potent contravening cognitive responses: "I
finally just tried to think about the girl I slept with last night. It kept
my mind off those damn shocks." To the extent that an observer who is

faced with distressing events succeeds cither in attenuating unpleasant

arousal by producing competing thoughts or in diverting his attention
from disturbing stimuli, associated stimulus events are likely to become
endowed with relatively weak aversive properties. In the above experi-
ment deliberate use of avoidant and stimulus neutralization stratagems
was reported most frequently by persons in the highest arousal conditions.
The research discussed thus far has been entirely concerned with
vicarious conditioning based on autonomic indices. Conditioned emotion-
ality is also often measured in terms of behavioral suppression. If unpleas-
ant experiences are repeatedly paired with a neutral stimulus, it acquires
the power to evoke emotional reactions that tend to inhibit instrumental
behavior in its presence. Crooks ( 1967 ) has shown that strong behavioral

suppression can be established solely on the basis of observational expe-

riences. Afterbeing tested for the extent to which they handled play
objects,monkeys participated in a vicarious fear conditioning experiment
in which they observed distress vocalizations sounded (through a tape
recorder) whenever a model monkey touched a particular object. Later
the observers also received a control conditioning procedure wherein
they witnessed the model's contacts with a different object paired with
the distress vocalizations played backwards, thus obliterating the distress-
ing value of the sounds. In a subsequent test the observing animals played
Vicarious Extinction 175

freely with the control items, but actively avoided objects that accom-
panied supposedly painful experiences for another animal.
Although emotional behavior is probably often developed in everyday
situations through vicarious means, there are few occasions when aversive
forms of classical conditioning might be intentionally employed for thera-
peutic purposes. There are clinical reports (Miller, Dvorak, & Turner,
1960), however, in which aversive counterconditioning has been applied
in a group setting for creating aversion to alcohol in chronic alcoholics.
Aversion reactions are rapidly established under such conditions, and
most of the clients display strong vicarious conditioning effects. Positive
vicarious conditioning, on the other hand, has rarely been employed
systematically to develop empathy, pleasurable reactions, and favorable
social attitudes.

Vicarious Extinction

Emotional response patterns can be extinguished as well as acquired

on a vicarious basis. Vicarious extinction of fears and behavioral inhibi-
tions is achieved by having persons observe models performing fear-
provoking behavior without experiencing adverse consequences. How
avoidance responses can be extinguished without having been elicited can
be best explained in terms of a dual-process theory of avoidance behavior.
As noted in the previous discussion of causal processes, conditioned aver-
sive stimuli evoke emotional arousal that exerts some degree of control
over instrumental responding. It would follow from this theory that if the
arousal capacity of a threatening stimulus is extinguished, then both the
motivation and one set of controlling stimuli for avoidance behavior are
removed. Black ( 1958) has shown that neutralization of an aversive stimu-
lus through classical extinction procedures alone markedly facilitates sub-
sequent elimination of avoidance behavior.
Some early suggestive evidence for the occurrence of vicarious extinc-
tion provided by Masserman (1943) and Jones (1924) in exploratory stud-
is

ies of the relative therapeutic efficacy of modeling procedures. Masserman

produced strong feeding inhibitions in cats by pairing food approach re-

sponses to a conditioned stimulus with aversive stimulation. In the reme-
dial phase of the experiment, the inhibited animals observed a cagemate,
who had never been negatively conditioned, exhibit prompt approach and
feeding responses. The observers initially cowered at the presentation of
the conditioned stimulus, but with continued exposure to their fearless
companion, they advanced, at first hesitantly and then more boldly, to the
goal box and consumed the food. Some of the animals, however, showed
little reduction in avoidance behavior despite prolonged hunger and re-
176 MODELING AND VICARIOUS PROCESSES

peated modeling trials. Moreover, avoidanee responses reappeared in a

few of the animals was removed, indicating that in
after the fearless cat
the latter cases the modeling stimuli served merely as temporary external
inhibitors of avoidance responses. Jones (1924) similarly obtained varia-
ble results in extinguishing children's phobic responsesby having them
observe their peers behave in a nonanxious manner in the presence of the
avoided objects.
Since nonoccurrence of anticipated aversive consequences is a requi-
site condition for fear extinction, the modeling displays most likely to
have strong effects on fearful observers are ones in which performances
that they regard as hazardous are repeatedly shown to be safe under a
variety of threatening circumstances. However, if people are to be influ-
enced by modeled behavior and its accompanying consequences, then the
necessary observing responses must be elicited and maintained. Presenta-
tion of modeled approach responses toward the most threatening situation
at the outset, as in the studies cited above, is likely to generate high levels
of fear arousal in observers. To the extent that such conditions activate
avoidance responses (such as withdrawing or looking away) designed to
reduce vicariously instigated distress, they will impede vicarious extinc-
tion. Therefore, the efficacy of vicarious extinction procedures may partly
depend on the manner which modeled performances are presented.
in
Avoidanee responses can be consistently extinguished with minimal
distress if persons are exposed to a graduated sequence of aversive stimuli
that progressively approximates the most feared event. In the application
of this stimulus generalization principle to vicarious extinction, persons
initially observe a model responding in a positive manner to situations
that have low arousal value. After emotional responses to attenuated
threats have been extinguished, progressively more aversive modeling
cues, which are weakened by generalization of anxiety extinction from
preceding displays, are gradually introduced and neutralized. Stimulus
graduation is not a necessary condition for vicarious extinction, but it
permits greater control over the change process and it entails less anxiety
elicitation than approaches involving repeated exposure to modeled events
having high threat value.
In addition to stimulus exposure variables, qualitative aspects of the
modeled behavior are likely to influence vicarious extinction outcomes.
The studies of vicarious emotional arousal reviewed earlier demonstrate
that negative affective impressions by others can serve as powerful cues
for arousing fear and avoidance in observers. One would therefore expect
modeled approach responses accompanied by positive affective expres-
sions to produce greater extinction effects than those accompanied by
anxiety. For example, parental modeling efforts intended to overcome
children's fears are frequently nullified because the parents themselves
Vicarious Extinction 177

suffer apprehensions and force themselves into tense contact with feared
objects.
As part of a program of research designed to elucidate the phenome-
non of vicarious extinction, several efficacious modeling procedures have
been developed for modifying anxiety disorders. The first study in the
series (Bandura, Grusec, & Menlove, 1967b) involved a stringent test of
the degree to which strong avoidance behavior of long standing can be
extinguished vicariously. It also explored the possibility that induction of
positive affective responses in observers during exposure to potentially
threatening modeling cues may expedite the vicarious extinction process.
Young children, who exhibited fear of dogs as revealed by parental
ratings and an actual test of dog avoidance behavior, were assigned to
one of four treatment conditions. One group participated in eight brief
sessions during which they observed a fearless peer model exhibit pro-
gressively more fear-provoking interactions with a dog. For these chil-
dren, the modeled approach behavior was presented within a highly
positive party context designed to counteract anxiety reactions. The fear-
arousing properties of the modeled performances were gradually increased
from session to session by varying simultaneously the physical restraints
on the dog, the directness and intimacy of the modeled approach re-
sponses, and the duration of interaction between the model and his canine
companion. A second group of children observed the same graduated
modeled performances, but in a neutral context. In the two treatment
conditions described the stimulus complex contained both modeling cues
and repeated observation of the feared animal. Therefore, in order to
measure the effects of exposure to the threatening object itself, a third
group of children observed the dog in the positive context but with the
model absent. A fourth group participated in the positive activities but
was never exposed to either the dog or the modeled displays.
Following completion of the treatment series, children were readmin-
istered the avoidance test consisting of the graded sequence of dog inter-
action tasks. They were asked, for example, to approach and to pet the
dog, to release her from a playpen, to remove her leash, to feed her dog
biscuits, and to spend a fixed period of time alone in the room with the
animal. The final and most difficult set of tasks required the children to
climb into the playpen with the dog and, after having locked the gate, to
pet her and to remain alone with the animal under the confining, fear-
arousing conditions.
Evidence that deviant behavior can be modified by a particular
method is of limited therapeutic significance unless it can be demon-

strated that established response patterns generalize to stimuli beyond

those encountered in treatment, and that induced changes endure after
the therapeutic conditions have been discontinued. Therefore, the chil-
178 MODELING AND VICARIOUS PROCESSES

24

22

20

a> 18

16

< 14

12
positive context •—
Model h neutral context •—
10
Dog + positive context •—
Positive context *—

Pre -Test Post -Test Follow up

Experimental Phases

Figure 3-10. Mean dog-approach scores achieved by children in each of the

treatment conditions on the three different periods of assessment. Bandura,
Grusec, & Menlove, 1967.

dren were readministcred tests for avoidance behavior toward different

dogs after completion of the treatment program, and again a month later.
The modeling procedure produced highly stable and generalized vi-
carious extinction of avoidance responses (Figure 3-10). The two groups
of children who had observed the peer model interact fearlessly with the
dog displayed significantly greater approach behavior toward both the
experimental and an unfamiliar animal than did children in both the dog
exposure and control conditions, who did not differ from each other. The
positive context, however, did not contribute much to the favorable out-
comes obtained. Further evidence for the effectiveness of this method is
that 67 percent of the children receiving the modeling treatment were
able to remain alone with the dog in the playpen. In contrast, this ulti-
mate test was met by few children in the two control conditions.
relatively
One would expect, fromknowledge of generalization processes, that
vicarious extinction effects would be partly determined by the variety of
stimulus elements that are neutralized. Exposure to diverse models who
display fearless behavior toward variant forms of the feared object with-
out adverse consequences should produce thorough extinction of fear
arousal, and consequently extensive reduction in avoidance behavior. On
the other hand, observers whose emotional responsiveness to a restricted
Vicarious Extinction 179

set of modeled aversive elements is extinguished are apt to display weaker

extinction effects. Moreover, under conditions where a series of aversive
stimuli is presented only once, certain observer characteristics might also
influence the extent to which emotional responses are extinguished. Ob-
servers who are highly susceptible to emotional arousal would be inclined
to respond to threatening modeling displays with pronounced fear and
might, therefore, show relatively strong resistance to vicarious extinction.
Thus, emotionality might serve as an additional determinant of the rate
at which avoidance behavior is reduced through modeling procedures.
The above propositions were tested in a second experiment ( Bandura
& Menlove, 1968) employing the same assessment methodology with chil-
dren who displayed severe dog-avoidance behavior. In this project, how-
ever, the performances of models were presented in a series of brief mov-
ies in order to symbolic modeling techniques that might
test the efficacy of
lend themselves conveniently to psychotherapeutic applications. One
group of children, who participated in a single-model treatment, observed
a fearless male model display the same progressively fear-provoking in-
teractions with a dog as in the preceding experiment. The second group
of children, receiving a multiple-model treatment, observed several dif-
ferent girls and boys of varying ages interacting positively with many
dogs. The size and fearsomeness of the dogs increased progressively from
that of small, nonthreatening dogs to more massive varieties. Children
assigned to a control group were shown movies that had no canine char-
acters.
The dog-approach scores obtained by children in each of the three
conditions in the pre-test, post-test, and follow-up phases of the experi-
ment are shown graphically in Figure 3-11. Children who observed ap-
proach behavior modeled without adverse consequences to the performer
displayed enduring and generalized reductions in avoidance behavior,
whereas the controls showed no changes in this regard. Comparison of
the incidence of terminal performances (remaining alone with the dog
in the playpen) by children presented with the single-modeling display
and those who witnessed the multiple modeling showed the latter form
of treatment to be superior for completely eliminating dog-avoidance be-
havior. Although modeling was equally effective regardless of the severity
of children's phobic behavior, those who manifested a wide variety of
fears benefited somewhat less from the multiple-modeling treatment than
children who had fewer fears.
As a further test of the therapeutic value of symbolic modeling, con-
trol children were administered the multiple-model treatment after the
main experiment was completed. The control children, whose avoidance
behavior remained unchanged in several tests conducted during the con-
trol period, displayed a sharp increase in dog-approach behavior follow-
180 MODELING AND VICARIOUS PROCESSES

Multiple model ^—
Single model •—
12
Control group •-•

10

5 6

4 -

Pre -Test Post -Test Follow up

Figure 3-11. Median dog-approach scores achieved by children who received

either single-model or multiple-model treatments, or who participated in a
control condition. Bandura & Menlove, 1968.

ing treatment. The increased boldness of one of the control children who
had been subsequently treated is portrayed in Figure 3-12. The top frames
show the model's dauntless behavior; the lower frames depict the child's
fearless interaction with the animals, both of which she boldlv corralled
in the playpen, after the formal test.
Comparison of results of the two experiments suggests that symbolic
modeling is less powerful than live demonstrations of essentially the same
behavior. Although the single-model treatment effected significant reduc-
tions in children's avoidance responses, it did not sufficiently weaken
their fears to enable them to carry out the threatening terminal approach
behavior. However, the diminished efficacy of symbolic modeling can be
offset by a broader sampling of models and aversive stimulus objects.
Children who received the diverse modeling treatment not only showed
continuous improvement in approach behavior between the post-test and
follow-up periods, but also achieved terminal performances at rates com-
parable to equally avoidant children who, in the previous experiment,
observed fearless behavior performed by a single real-life model. Hill,
Vicarious Extinction 181

Figure 3-12. A girl who was

apprehensive about dogs engaging in fearless inter-
actions with dogs after exposure to the series of films in which a peer model
displays
J
progressively threatening interactions with dogs. Bandura & Menlove,
1968.
182 . MODELING AND VICARIOUS PROCESSES

Liebert, & Mott (1968) and Spiegler, Liebert, McMains, & Fernandez
(1968) have also successfully eliminated persistent avoidance behavior
in children and adults through brief symbolic modeling, but in the latter
studies the modeled performances are accompanied by a persuasive nar-
rative and other fear-mitigating variables.
The potency of modeling influences in the transmission of anxiety is
widely acknowledged, but their therapeutic value has sometimes been
questioned (Jersild & Holmes, 1935) on the grounds that fears persist
even though modeling frequently occurs under ordinary conditions of
life. The effectiveness of any principle of learning depends not only on its

validity but also on the manner in which it is implemented. Inconsistent,

haphazard, and inadequately sequenced learning experiences will pro-
duce disappointing outcomes regardless of the cogency of the principle
supposedly guiding the treatment.
In many weak fears are undoubtedly extinguished, or sub-
instances
stantially reduced, through fortuitous naturalistic modeling. However,
carefully planned modeling experiences are essential for the modification
of more tenacious avoidance tendencies. There is some evidence (Ban-
dura & Menlove, 1968) that parents of children who exhibit severe fear-
fulness make no attempts to overcome their children's fears because they
suffer from similar apprehension. Consequently, they seldom model fear-
lessness and, on the infrequent occasions when they do, the modeling en-
deavors do not involve carefully graded presentation of threatening stim-
uli, without which this method is not only likely to be ineffective but may

actually exacerbate anxiety reactions. A not uncommon domestic model-

ing scene, for example, is one in which a parent is busily petting a dog
that is jumping about and simultaneously bidding the child, who is cling-
ing fearfully, to touch the bounding animal. By contrast, the modeling
treatments, in addition to utilizing the principle of graduation to reduce
fear arousal, involved concentrated exposures to modeling displays under
protected observation conditions, and extensive variation of model char-
acteristics, intimacy of approach behavior, and aversive properties of the
feared object. Had the modeling sequences been presented in a widely
dispersed and haphazard fashion and restricted to the more reserved pet-
ting responses by adults ( whom children are likely to discriminate as bet-
ter able to protect themselves), the vicarious extinction outcomes might
have been relatively weak and unpredictable.
The third project ( Bandura, Blanchard, & Ritter, 1968 ) employed an
elaborate experimental design to assess the comparative efficacy of mod-
eling and desensitization treatment approaches for producing behavioral,
affective, and attitudinal changes. The participants were adolescents and
adults who suffered from snake phobias that, in most cases, unnecessarily
restricted their activities and adversely affected their psychological func-
Vicarious Extinction 183

tioning in various ways. Some of the people were unable to perform their
jobs in situations in which there was any remote possibility that they
might come into contact with snakes; others could not take part in recrea-
tional activities such as hunting, gardening,camping, or hiking, because
of their dread of snakes; and still others avoided purchasing homes in
rural areas, or experienced marked distress whenever they would be un-
expectedly confronted with pet snakes in the course of their social or oc-
cupational activities.
In the initial phase of the experiment the participants were adminis-
tered a behavioral test that measured the strength of their avoidance of
snakes. In addition, they completed a comprehensive fear inventory to
determine whether elimination of fear of snakes is associated with con-
comitant changes in other areas of anxiety. Attitudinal ratings on several
scales describing various encounters with snakes and on the evaluative
dimensions of the semantic differential technique were also obtained. The
latter measures were included to furnish data regarding the interesting
but inadequately explored attitudinal effects of behavioral changes in-
duced through social-learning methods.
The cases were individually matched on the basis of their avoidance
behavior and assigned to one of four conditions. One group participated
in a self-administered symbolic modeling treatment in which they ob-
served a film depicting young children, adolescents, and adults engaging
in progressively threatening interactions with a large king snake ( Figure
3-13). To increase even further the power of this method two other fea-
tures were added: subjects were taught to induce and to maintain anxiety-
inhibiting relaxation throughout the period of exposure, and they were
permitted to regulate the rate of presentation of stimuli by means of re-
mote control starting and reversing devices. The rationale for the second
feature was that a self-regulated modeling treatment should permit
greater control over extinction than one in which persons are exposed to
a sequence of aversive cues without regard to their anxiety reactions.
Subjects were instructed to stop the film whenever a particular modeled
performance provoked anxiety, to reverse the film to the beginning of the
aversive sequence, and to reinduce deep relaxation. They then reviewed
the threatening scene repeatedly in this manner until it was completely
neutralized before proceeding to the next item in the graduated sequence.
After subjects became skillful in handling the projector controls and the
self-induction of relaxation, the experimenter absented himself from the
situation, and the subjects conducted their own treatment until their anx-
ieties to the depicted scenes were thoroughly extinguished.

The second group of subjects received a form of treatment combining

graduated modeling with guided participation. The principal elements
of this method were developed by Ritter (1968, 1969a) as contact desen-
184 MODELING AND VICARIOUS PROCESSES

Figure 3-13. Children and adults

modeling progressively fear-arous-
ing interactions with a king snake.
Bandura, Blanchard, & Ritter, 1968.
Vicarious Extinction 185

sitization. In the procedure employed in the present study, the model

initially demonstrates the desired behavior under secure observational
which subjects are aided through further demonstration
conditions, after
and joint to execute progressively more difficult responses.
performance
Whenever subjects are unable to perform a given behavior after demon-
stration alone, they enact the feared activities concurrently with the
model. The physical guidance is then gradually reduced until they are
able to perform the behavior alone.
In the application of this method to the elimination of snake phobia, at
each step the experimenter himself performed fearless behavior and grad-
ually led subjects into touching, stroking, and then holding the snake's
body with first gloved and then bare hands while he held the snake se-
curely by the head and tail. If a subject was unable to touch the snake
after ample demonstration, she was asked to place her hand on the experi-
menter's and to move her hand down gradually until it touched the
snake's body. After subjects no longer felt any apprehension about touch-
ing the snake under these secure conditions, anxieties about contact with
the snake's head area and entwining tail were extinguished. The experi-
menter again performed the tasks fearlessly, and then he and the subject
performed the responses jointly; as subjects became less fearful the experi-
menter graduallv reduced his participation and control over the snake
until subjects were able to hold the snake in their laps without assistance,
to let the snake loose in the room and retrieve it, and to let it crawl freely
over their bodies. Progress through the graded approach tasks was paced
according to the subjects' apprehensiveness. When they reported being
able to perform one activity with little or no fear, they were eased into a
more difficult interaction.

Subjects assigned to the third group received the standard form of

desensitization treatment devised by Wolpe
1958 ) In this procedure
( .

deep relaxation was successively paired with imaginal representations of

snakes arranged in order of increasing aversiveness. As in the other con-
ditions, the treatment was continued until subjects' anxiety reactions were
totally extinguished or the maximum time allotment was completed.
Subjects assigned to the control conditions participated in the behav-
ioral and attitudinal assessments without intervening treatment. This
group primarily furnished a control for changes resulting from repeated
measurements. A relationship pseudotherapy was not employed because
several previous investigations have shown that snake-avoidance behavior
is unaffected by such experiences. In addition, the controls were later

administered the symbolic modeling treatment without relaxation to eval-

uate its contribution to the changes produced by this method.
Following completion of the treatment series the assessment proce-
dures were readministered to all subjects. In order to determine the gen-
erality of extinction effects, half the subjects in each of the conditions
186 MODELING AND VICARIOUS PROCESSES

were tested initially with the familiar brown-striped king snake and then
with an unfamiliar crimson-splotched corn snake that was strikingly dif-
ferent in coloration; the remaining subjects were tested with the two
snakes in the reverse order. The behavioral test consisted of a series of
tasks requiring the subjects to approach, look at, touch, and hold a snake
with bare and gloved hands; to remove the snake from its cage, let it
loose in the room, and then replace it in the cage; to hold it within five
inches of their faces; and finally to tolerate the snake in their laps while
they held their hands passively at their sides. Immediately before and
during the performance of each task subjects rated the intensity of their
fear arousal on a 10-interval scale to measure extinction of affective
arousal accompanying specific approach responses.
As shown in Figure 3-14, control subjects remained unchanged in
avoidance behavior, symbolic modeling and desensitization produced sub-
stantial reductions, and live modeling combined with guided participa-
tion eliminated snake phobias in virtually all subjects (92 percent). The
modeling procedures not only extinguished avoidance responses of long
standing, but they also neutralized the anxiety-arousing properties of the

28 Live modeling with

participation

Desensitization •-
26
Symbolic modeling *_

Control »-
24

22

3> 20

16

14

12

10

^L
Pre -Test Post -Test

Figure 3-14. of snake-approach responses performed by sub-

Mean number
jects before and after receiving different treatments. Bandura, Blanchard, &
Ritter, 1968.
Vicarious Extinction 187

phobic stimuli. Both of the modeling treatments achieved marked decre-

ments in anticipatory and performance anxiety. Although subjects who
had received desensitization treatment also experienced less emotional
arousal while performing snake-approach responses, their magnitude of
fear reduction was less than that of their counterparts in the modeling
conditions.
Findings of this experiment also reveal that applications of social-
learning procedures have important attitudinal consequences. Both sym-
bolic modeling and desensitization, which primarily involve extinction of
negative affect aroused by aversive stimuli, produced favorable changes
in attitudes toward snakes. Consistent with theoretical expectation, the
treatment condition that reduced the anxiety-arousing properties of snakes
and enabled subjects to engage in intimate interactions with snakes ef-

fected the greatest attitudinal changes. These findings will be given more
detailed consideration in a later chapter specifically concerned with proc-
esses governing the modification of attitudes.
Analysis of the fear inventory scores disclosed some degree of fear
reductions beyond the specifically treated phobia, the decrements being
roughly proportional to the potency of the treatments employed. Non-
treated controls showed no changes in either number or intensity of fears.
Desensitization produced a decrease only in severity of fears toward other
animals, whereas symbolic modeling was accompanied by a reduction in
the number of animal fearsand a general diminution in the intensity of
anxiety in several other areas of functioning. Participant modeling, on the
other hand, effected widespread fear reductions in relation to a variety
of threats involving both interpersonal and nonsocial events. The transfer
obtained reflects the operation of at least two somewhat different proc-
esses. The first involves generalization of extinction effects from treated
stimuli to related anxiety sources. The second entails positive reinforce-
ment which mitigates emotional
of a sense of capability through success,
responses to potentially threatening situations. Having successfully over-
come a phobia that had plagued them for most of their lives, subjects re-
ported increased confidence that they could cope effectively with other
fear-provoking events
After the posttreatment assessment, subjects in the control group re-
ceived the symbolic modeling treatment without the relaxation com-
ponent. Symbolic modeling alone achieved substantial decrements in
fear arousal and avoidance behavior: 45 percent of the subjects ex-
hibited terminal performances toward both snakes. No significant dif-
ferences were found in approach behavior between subjects who were
administered symbolic modeling alone and those who received symbolic
modeling with relaxation. However, subjects who paired modeling with
relaxation required fewer reexposures to neutralize the aversive scenes,
188 MODELING AND VICARIOUS PROCESSES

subsequently experienced less fear arousal while performing snake-

approach responses, and showed greater positive changes in their at-
titudes toward snakes.
In order to determine, in cases involving only partial improvement,
whether the deficiencies reside in the treatment method or in the subject,
all persons who failed to achieve terminal performances were sub-
sequently administered the participant modeling treatment. Snake-phobic
behavior was thoroughly extinguished in all these subjects within a few
brief sessions regardless of their age, sex, proneness to anxiety, or
severity of avoidance behavior (Figure 3-15). Moreover, this supple-
mentary treatment produced further reductions in fearfulness toward
other types of threats, and also additional attitudinal changes.
A one-month follow-up assessment revealed that the beneficial
changes produced in behavior, attitudes, and emotional responsiveness
were effectively maintained. The clients also displayed evidence that the
behavioral improvements had generalized from therapeutic to real-life

28

26 -

24 -

22
c/>

to

o 20
a

^
Symbolic modeling •-

Desensitization •-

Live modeling with participation *

Control •----•

-tl J L
Pre -Test Post -Test Post -live Follow up

Figure 3-15. Mean number of snake-approach responses performed by sub-

jects before and after (post-test) receiving different treatments. Control sub-
jects were subsequently administered symbolic modeling treatment without
relaxation. All subjects in the desensitization, symbolic modeling, and treated
control conditions who failed to perform the terminal approach behavior were
then given the symbolic modeling and guided participation treatment (post-
live ) The snake-approach behavior of subjects in all four groups was measured
.

again in a follow-up study conducted one month later. Bandura, Blanchard, &
Ritter, 1968.
Vicarious Extinction 189

situations. They were

able to participate in recreational activities, such
as hunting, camping, hiking, and gardening, that they formerly avoided
because of their dread of snakes; they no longer experienced marked
distress when unexpectedly confronted with snakes in the course of their
social or occupational activities; they were able to handle harmless
snakes; and a few even served as model therapists for their own children
and fainthearted friends.
Ritter (1968) has obtained similarly uniform success with group
modeling procedures administered to children who displayed fear of
snakes. Groups of children participated in two 35-minute sessions in
which they either merely observed several fearless children exhibit
intimate interactions with a snake, or they received the participant
modeling form of treatment during which the therapist displayed positive
responses toward the snake and then gradually eased the children into
performing the feared behavior. Snake phobias were completely extin-
guished in 53 percent of the children by modeling alone and in 80 percent
who received modeling combined with guided participa-
of the children
The potency of this approach receives further confirmation by Rimm
tion.

& Mahoney 1969), who successfully extinguished snake-avoidance behav-

(

ior who were unable to achieve behav-

with participant modeling in adults
ioral improvement when offered increasing monetary rewards for perform-
ing a graduated series of approach responses.
Within the participant modeling treatment three processes are opera-
tive that might contribute in varying degrees to such striking psychologi-
cal changes. These include observation of fearless behavior being repeat-
edly modeled without any unfavorable consequences, incidental informa-
tion received about the feared objects, and direct personal contact with
threatening objects that engender no adverse effects. In an experiment
aimed at isolating the relative influence of these component variables,
Blanehard (1969) matched subjects in terms of their snake-avoidance
behavior and assigned them to one of four conditions. One subject in
each quartet received the standard procedure, which includes the benefits
of modeling, information, and guided interaction with a snake. A second
subject simultaneously observed the modeling sessions and listened to the
verbal interchanges, thus being exposed to both modeling and informa-
tional influences. The third subject received only the modeling compo-
nent, while the fourth, who merely participated in the testing procedures,
experienced none of the constituent influences. Figure 3-16 summarizes
the behavioral, affective, and attitudinal changes associated with these
various treatment conditions. Modeling accounted for approximately 60
percent of the behavior change and 80 percent of the changes in attitudes
and fear arousal; guided participation contributed the remaining incre-
190 MODELING AND VICARIOUS PROCESSES

100
Modeling + information + participation I

90 Modeling -j- information I

Modeling I

80
Control

70

60

50

40

30

20 -

10 -

Behavior Affect Attitude

Figure 3-16. Percentage of change approach behavior, fearfulness, and

in
attitudes displayed by subjects who received different components of the
modeling-guided participation treatment. Blanchard, 1969.

merit. Informational influences, on the other hand, had no effect on any of

the three response classes.
The guided participation component of the modeling approach under
discussion contains two important aspects. Participant observers enact
progressively more difficult responses and, if necessary, the model physi-
cally assists them in performing the behavior required at each step in the
graded series of tasks. In order to evaluate the influence of these elements,
Ritter ( 1969b ) administered one of three treatments to acrophobic subjects
during a single 35-minute session. For one group of subjects, the experi-
menter exhibited increasingly threatening climbing responses and physi-
cally assisted subjects in performing the same activities; in the second con-
dition the experimenter demonstrated the behavior but only verbally
guided subjects in enacting matching performances; a third group simply
observed the demonstrated activities. At the completion of the session all
Vicarious Extinction 191

subjects were readministered a behavioral test requiring them to climb to

a series of heights atop a seven-story building. Modeling accompanied by
physically guided performance produced greater changes than modeling
with verbally guided enactment, which in turn was superior to brief dem-
onstration alone.
Further research is needed to clarify the mechanisms through which
modeling procedures achieve extinction effects. Results of the experiment
by Bandura, Blanchard, & Ritter ( 1968 ) provide tentative support for the
proposition that avoidance behavior is reduced through vicarious extinc-
tion of fear arousal. During the symbolic modeling treatment subjects
rated the intensity of their fear arousal to each modeled scene and to sub-
sequent reexposures to the same stimuli. As shown in Figure 3-17, subjects
showed a progressive decline in fear arousal with each successive exposure
to modeled approach behavior. Subjects who combined symbolic modeling
with relaxation experienced a greater reduction in fear on the second ex-
posure to the aversive scenes than their counterparts who received sym-
bolic modeling alone, but on subsequent reexposures the rate of fear
extinction was essentially the same. The major theoretical assumption re-
ceives additional support from the study by Blanchard (1969), who also

3.5 Symbolic modeling with relaxation

Symbolic modeling without relaxation

3.0

2.5

2 2.0
<

1.5 -

1.0
-

0.5 -

12 Number
3
of
4
Exposures
5 6

Figure 3-17. Mean level of fear arousal evoked by the modeling stimuli
initiallyand by each subsequent exposure to the same filmed scenes in subjects
receiving symbolic modeling with relaxation and symbolic modeling alone.
The data are averaged across scenes at each exposure and plotted for the first
six exposures only since subjects rarely required more than six presentations to
neutralize any given scene. Bandura, Blanchard, & Ritter, 1968.
192 MODELING AND VICARIOUS PROCESSES

recorded decrements in fear arousal with successive reexposures to mod-

eling stimuli. He found that the more thoroughly fear arousal was vicari-
ously extinguished the greater was the reduction in avoidance behavior
and the more generalized were the behavioral changes.
The process of change associated with the powerful procedure involv-
ing modeling combined with guided participation may be conceptualized
as follows: Repeated modeling of approach responses decreases the
arousal potential of aversive stimuli below the threshold for activating
avoidance responses, thus enabling persons to engage, albeit somewhat
anxiously, in approach behavior. Direct contact with threats that are no
longer objectively justified provides a variety of new experiences that, if

favorable, further extinguish residual anxiety and avoidance tendencies.

Without the benefit of prior vicarious extinction, the reinstatement of sev-
erely inhibited behavior generally requires a tedious and protracted pro-
gram. After approach behavior toward formerly avoided objects has been
fully restored the resultant new experiences give rise to substantial reor-

ganization of attitudes.
The findings of studies reviewed above indicate that a powerful form
of treatment is which therapeutic agents themselves model the de-
one in
1

sired behavior and arrange optimal conditions for clients to engage in

similar activities until they can perform the behavior skillfully and fear-
lessly. The therapeutic outcomes associated with this approach are suffi-

ciently promising to warrant its further extension to other types of anxiety

conditions. It is undoubtedly best suited for behavioral dysfunctions in
which the feared consequences are inspectional.

Inhibitory and Disinhibitory Effects

of Vicarious Experiences

In addition to the acquisition of instrumental and emotional behaviors

through observational experiences, exposure to modeled events may
strengthen or weaken observers' inhibitions of well-learned response pat-
terns. The occurrence of inhiJ)itonj effects is indicated when, as a function
of observing negative response consequences to a model, observers show
either decrements in the same class of behavior, or a general reduction of
responsiveness. It should be noted that when the subject witnesses behav-

ior that subsequently punished, the response-facilitative effects of mod-

is

eling cues are counteracted by the suppressive effects of adverse outcomes.

When these opposing influences are of comparable strength, persons who
have observed modeled behavior punished and those who have had no
exposure to the model may display an equally low incidence of response.
Therefore, inhibitory effects can be best evaluated either by measuring
response decrements from baseline levels or by comparison with perform-
Inhibitory and Disinhibitory Effects of Vicarious Experiences 193

ances of subjects who have observed the same modeled behavior without
any consequences. In the experiment cited earlier (Bandura, 1965b), for
example, children who had observed a model's aggressive behavior result
in severe punishment performed significantly fewer matching responses
than subjects who observed the same actions result either in reward or in
no evident consequences. Indeed, the vicarious punishment produced
virtually complete suppression of imitative aggression in girls, whose
inhibitions regarding physical forms of aggression are initially relatively
strong. Further evidence for the suppressive effects of vicarious punish-
ment is furnished by studies comparing consistent vicarious reward with
successive reward and punishment of the model's behavior (Rosekrans &
Hartup, 1967). Subsequent punishment tends to cancel the behavioral en-
hancement effects of rewarding consequences to the model.
The above studies demonstrate the inhibitory influence of observed
negative outcomes to a model on the aggressive behavior of viewers. Wal-
ters and his associates (Parke & Walters, 1967; Walters, Leat, & Mezei,
1963; Walters, Parke, & Cane, 1965) have likewise shown that witnessing
peer models punished for engaging in forbidden play activities increased
observers' resistance to deviation when they were similarly tempted with
the prohibited objects. In a comparative study, Benton (1967) found
that observers who witnessed others reprimanded for handling prohibited
toys latershowed the same amount of response inhibition as did the pun-
ished performers. The possible mechanisms through which vicarious pun-
ishment produces inhibitory effects are discussed in some detail in the
introductory chapter of this book.
In many instances persons respond with self -punitive and self-deval-
uative reactions to behavior of their own that may be considered permis-
sible, or even rewardable, by others. Results of investigations concerned

with the social transmission of self-monitoring reinforcement systems

(Bandura & Kupers, 1964; Bandura, Grusec, & Menlove, 1967b) provide
evidence that witnessing punishments self-administered by a model inhib-
its observers from performing the devalued behavior. Observation of
self-administered reinforcements by a model have been shown by Porro
(1968) to have similar effects on transgressive behavior. For children
who viewed a filmed model exhibit self-approving responses to her trans-
gressions, 80 percent subsequently handled toys they were forbidden to
touch, whereas the transgression rate was only 20 percent for children
who had observed the same model express self-critical reactions con-
cerning her transgressions.
Behavioral restraints, established through previous modeling or direct
aversive conditioning, can be reduced on the basis of observational ex-
periences. Such disinhibitory effects are evident when observers display
increases in socially disapproved behavior as a function of viewing models
194 MODELING AND VICARIOUS PROCESSES

either rewarded or experiencing no adverse consequences for performing

prohibited responses. The reduction of inhibitions through modeling has
been demonstrated most clearly in studies of intense physical forms of
aggression that tend to be inhibited in viewers as a result of past social
training ( Bandura, Ross, & Ross, 1963a; Epstein, 1966; Walters & Llewel-
lyn Thomas, 1963; Wheeler, 1966). It has also been shown (Grosser,
Polansky, & Lippitt, 1951; Ross, 1962) that the incidence of other types
of deviation by observers is significantly increased as a result of wit-
nessing models' unpunished transgressions. On the other hand, conform-
ing models tend to strengthen the observer's self-controlling responses
and thereby to reduce conflictive behavior in tempting situations (Ross,
1962).
Blake and his associates (Blake, 1958) conducted investigations of
some of the conditions determining the influence of noncompliant and
conforming models on observers' inhibitions in prohibition situations. In
one study, Freed, Chandler, Mouton, & Blake (1955) found that, although
exposure to a noncompliant model lowered students' resistance to de-
viation, transgressions occurred most frequently if the restriction was
relatively weak and the model violated the prohibitory signs, whereas
the combination of a strong restriction and a conforming model produced
the lowest incidence of deviation. A second experiment (Kimbrell &
Blake, 1958) demonstrated that the efficacy of modeling cues for modi-
fying inhibitions varies with the observer's level of instigation to trans-
gression. Under extreme provocation, subjects disregarded both the
imposed restriction and the conforming model. However, under condi-
tions where the instigation was not so strong as to force deviation,
subjects who observed a conforming model displayed more compliant
behavior than others who witnessed a model violate the prohibition.
In naturalistic situations observers often actually see a model's trans-
gressions rewarded or punished. At other times, however, they can only
infer probable consequences from discriminative symbols and attributes
of the model that tend to be correlated with differential reinforcements.
The manner in which distinctive model characteristics signifying prob-
able outcomes may increase a model's effectiveness in reducing inhibi-
tions is illustrated in an experiment conducted by Lefkowitz, Blake, &
Mouton (1955). Traffic-signal violations by a presumably high-status
person attired in a freshly pressed suit, shined shoes, white shirt, and tie
produced a higher pedestrian violation rate than the same transgression
performed by the same model dressed in soiled, patched trousers, scuffed
shoes, and a blue denim shirt. The differential reduction in restraints
noted in the latter experiment is probably attributable to the fact that
transgressions by persons who occupy a high position in a prestige
hierarchy are likely to be punished less frequently and less severely than
 .

Inhibitory and Disinhibitory Effects of Vicarious Experiences 195

those performed by low-status transgressors. The differential leniency is

apt to be temporarily extended to the imitator as well, when the trans-

gressive behavior is performed at the same time along with the deviating
model.
Other discriminative properties of the model, such as age, sex, socio-
economic status, social power, ethnic background, and intellectual and
vocational status, which are associated with predictable contingencies of
reinforcement, may likewise influence the extent to which prohibited acts
will be imitated. Vicarious reinforcement effects are, of course, consider-
ably weakened or nullified under conditions where the model's trans-
gressive behavior is so markedly inappropriate to the sex (Dubanoski,
1967), status, or social role occupied by the observer that any imitative
tendencies are personally suppressed.
Under most circumstances people readily adopt modeled responses
that seem appropriate or have utilitarian value. However, in some prob-
lem-solving and achievement-like situations they display counter-match-
ing tendencies for fear that imitative behavior will be considered cheat-
ing, copying, or subservience, and, therefore, socially disapproved
(Luchins & Luchins, 1961; Patterson, Littman, & Brown, 1968; Schein,
1954). The inhibiting effect of anticipated negative sanctions for imita-
tion can be overcome in observers through positive reinforcement of the
model's responses ( Clark, 1965 )
It is interesting to note that, when a model displays punishable be-
havior, absence of anticipated adverse consequences increases trans-
gressive behavior in observers to thesame degree as witnessing the
model experience rewarding outcomes (Bandura, 1965b; Walters, Parke,
& Cane, 1965). These findings suggest that nonreaction to formerly
prohibited activities may take on, through contrast, positive significance.
Similar contrast-of-reinforcement effects have been demonstrated in
studies of direct reinforcement (Buchwald, 1959a, 1959b) in which
nonreward following punishment had functioned analogously to a posi-
tive incentive, whereas nonreward following a series of rewards had
operated as a negative reinforcer. In fact, even a weak positive incen-
tive, when contrasted with more rewarding prior events, may acquire
negative reinforcing value (Buchwald, 1960). The effects of witnessed
outcomes on matching behavior may therefore be determined to a large
extent by the context in which the events occur and the customary
sanctions associated with particular modeled response patterns.
Because previous studies have utilized deviant modes of behavior,
which may be readily disinhibited through omission of negative con-
sequences, the results provide no clear evidence for the occurrence of
positive vicarious reinforcement. However, findings of an experiment
(Bandura, Grusec, & Menlove, 1967b) involving modeled behavior that
196 MODELING AND VICARIOUS PROCESSES

is positively sanctioned reveal that social rewards dispensed to a model

augment matching responses compared to a condition in which the
exemplified actions produce no evident consequences.
It is generally easier to disinhibit than to inhibit response patterns

through vicarious means. The main reason for this difference is that
behavior which is customarily subject to negative sanctions is often
positively reinforcing for the user, but
it is socially suppressed for the

convenience and well-being of others. Thus, for example, by violating

prohibitions and restrictions people can gratify their immediate needs
more and effectively than by following irksome institutionalized
directly
requirements; similarly, by adopting transgressive behavior they can
gain access to attractive resources that might otherwise be denied them.
Therefore, it does not require much successful deviant modeling to re-
duce vicariously the suppressive effects over personally rewarding be-
havior. On the other hand, inhibitory effects are far more difficult to
establish and to sustain through either direct or vicarious punishment,
when it involves relinquishing behaviors that lead to immediate and
direct reinforcement. Considering that exposure to deviant filmed models
tends to weaken behavioral restraints, one would expect televised por-
trayals of successfully executed transgressions to have disinhibitory effects
on viewers.

Response Facilitating Effects of Modeling Influences

The behavior of models often serves merely as discriminative cues for
observers in facilitating the expression of previously learned responses
that ordinarily are not subject to negative sanctions. Laboratory and
field studieshave shown that the probability of occurrence of a wide
variety of neutral and socially approved behavior can be substantially
increased as a function of witnessing the action of real-life or symbolic
models. Some of the behaviors that have been thus facilitated include
volunteering one's services ( Rosenbaum, 1956; Rosenbaum & Blake, 1955;
Schachter & Hall, 1952), performing altruistic acts (Blake, Rosenbaum,
& Duryea, Bryan & Test, 1967; Harris, 1968; Rosenhan & White,
1955;
1967), pledging oneself to a course of social action (Blake, Mouton, &
Hain, 1956; Helson, Blake, Mouton, & Olmstead, 1956), assisting persons
in distress (Bryan & Test, 1967), seeking relevant information (Krum-
boltz & Thoresen, 1964; Krumboltz, Varenhorst, & Thoresen, 1967), and
selecting certain types of foods (Duncker, 1938; Barnwell, 1966), activi-
ties(Madsen, 1968), or articles (Bandura, Ross, & Ross, 1963b; Gelfand,
1962 ) Some of the most influential theoretical formulations of imitative
.

processes (Miller & Dollard, 1941; Skinner, 1953) have, in fact, been
almost exclusively concerned with the discriminative function of social
Response Facilitating Effects of Modeling Influence 197

cues. In the prototypic experiment the model's responses serve as the

occasion upon which another organism is likely to be reinforced for

performing similar responses. After a period of exposure to differential

reinforcement, imitative tendencies become strongly established; con-
versely, by reversing the contingencies so that matching responses are
never reinforced but nonmatching behavior is consistently rewarded,
imitativeness is reduced to a very low or zero level (Miller & Dollard,
1941).
Ethologists provide extensive documentation of the response-facilitat-
ing function of social cues in birds, fish, and mammals (Hall, 1963;
Thorpe, 1956 ) Typically, the sight of certain responses performed by an
.

animal elicits a similar or identical pattern of behavior in other members

of the same species. This process is generally referred to as "social facilita-
tion" or "behavioral contagion" when it is presumably determined by

prior discriminative reinforcement, and "mimesis" when corresponding

unconditioned response patterns are supposedly instinctively aroused.
As Hinde ( 1953 ) points out, the occurrence of matching behavior in
animals is often erroneously attributed to mimetic processes. In the
first place, what appears to be mimetic behavior may involve response
patterns that have, in fact, been established through prior social learning.
Even in cases where matching behavior is clearly instinctive, it is fre-
quently difficult to determine whether social cues constitute the critical
eliciting stimuli. Readily discriminate "sign stimuli" (Tinbergen, 1951)
or "releasers" (Thorpe, 1956) in the form of color displays, preparatory
movement sequences, postural cues, and specific vocalizations frequently
serve as unconditioned stimuli for complete patterns of instinctive be-
havior in other members of the species. Therefore, when appropriate
releasing stimuli are displayed model during the performance of a
by a
given activity, the corresponding responses on the part of observing
animals may be primarily controlled by releasing stimuli, rather than
the model's behavioral cues. Thus, for example, the white tail feathers
of a bird flying upward can function as flight-eliciting stimuli for other
members of a flock (Armstrong, 1942). A suitably feathered but non-
flying artificial model might likewise succeed in getting a flock of birds
airborne.
Pseudo-mimesis is also evident in instances where a model's behavior
directs the observer's attention to environmental stimuli which, in turn,
elicit similar It has been shown, for example,
innate response patterns.
that animals will consume considerably more food when they are fed in
pairs than when they are fed alone, and satiated chickens will begin to
eat at the sight of other birds feeding. It is entirely possible that in such
cases modeling cues primarily serve an orienting function, whereas the
consummatory responses of the sociable chicks are reinstated and main-
198 MODELING AND VICARIOUS PROCESSES

tained by the grain to which been redirected. The fact

their attention has
that the stimulus complex to which observing animals are responding
frequently contains, in addition to social cues, releasing stimuli and other
response-controlling environmental events complicates the identification
and analysis of genuine mimetic phenomena.
The behavior of models may not only function as discriminative cues
for similar responses, but also serve to direct the observers' attention to
the particular stimulus objects manipulated by the performer ( Crawford
& Spence, 1939). As a consequence, observers may subsequently utilize
the same objects to a greater extent, though not necessarily in an imita-
tive way. In one modeling experiment (Bandura, 1962), for example,
the model pummeled a plastic doll with a mallet. Children who had ob-
served this aggressive act later displayed significantly more behavior in
which they pounded a peg board with the mallet than did both the
control subjects and those who had viewed a nonaggressive model.
Stimulus enhancement effects are distinguished from social facilitation
in that the observer's behavior in the former case may bear little or no
resemblance to the model's activities.
It is evident that observers are not equally affected by the actions of
others with whom they may come into contact, nor are performers
equally influential in evoking the types of behaviors in which they them-
selves are engaged. Susceptibility to social facilitationis largely governed

by three have been discussed at length in preceding

sets of variables that
sections and elsewhere. These include observer characteristics, the rein-
forcement contingencies associated with matching behavior in the par-
ticular setting, and the attributes of the model ( Bandura, 1968; Campbell,
1961; Flanders, 1968).
In learning analyses of response facilitation as a function of model
attributes (Miller & Dollard, 1941), stimulus generalization and differen-
tial reinforcement are utilized as the main explanatory principles. Ac-
cording to this interpretation, social models differ in the extent to which
their behavior is likely to be successful in producing favorable outcomes.

Hence, persons are most frequently rewarded for matching the behavior
of models who are intelligent, who possess certain social and technical
competencies, who command social power, and who, by virtue of their
adroitness, occupy high positions in various status hierarchies. On the
other hand, the behaviors of models who are ineffectual, uninformed,
and who have attained low vocational, intellectual, and social status, are
apt to have considerably less utilitarian value. As a result of differential
reinforcement for matching models who possess diverse attributes, the
identifying characteristics gradually come to serve as discriminative stim-
uli probable consequences associated with behavior
that signify the
modeled by different social agents. Moreover, through the process of
Utilization of Modeling Principles in Planned Sociocultural Change 199

stimulus generalization, the effect of a model's prestige carries over from

one area of behavior to another, and imitative responses tend to gener-
alize to unfamiliar persons to the extent that they share similar character-
istics with past reward-producing models.
The fact that social behavior is extensively under modeling stimulus
control suggests that social phenomena can be partly regulated through
alteration of focal modeling influences. Lippitt and his colleagues (Lip-
pitt, Polansky, & Rosen, 1952; Polansky, Lippitt, & Redl, 1950) have
shown in several field studies that persons to whom is attributed high
social power
are the major sources of imitative behavior for other group
members. These findings indicate that the attitudes and actions of entire
groups can be modified most rapidly and pervasively by changing the
conduct norms modeled by key sources of behavioral contagion, whereas
attempts to alter the behavior of each member individually would prove
exceedingly laborious and ineffectual.

Utilization of Modeling Principles

in Planned Sociocultural Change
Societies are continuously faced with the problem of introducing and
gaining widespread acceptance of new practices designed to improve the
quality of social life. This often involves effecting changes in relatively
circumscribed groups, as in the case of specific community development
projects. At other times, however, far-reaching modifications are sought
in economic, political, educational, and social practices that implicate
the entire culture.
Most socially significant changes involve some negative consequences
that are likely to serve initially as barriers to change. In the first place,
people are required to expend a certain amount of their time, energy, and
resources, that might otherwise be used for personal gratification, to learn
new personal habits and modes of living. Second, the beneficial outcomes
that may accrue from new response patterns usually cannot be clearly
demonstrated until they have been tried over a period of time. Since
innovations often prove unsuccessful and promoters generally overvalue
their potentialities, people are understandably apprehensive about for-
saking existing behaviors of established utility for new ones involving
possible superior but uncertain consequences. Most people, therefore,
are reluctant to change their customary practices until they have observed
new behaviors to be rewarding for more venturesome adopters. Third,
conventional patterns are usually fortified by belief systems and moral
codes that portend hazardous consequences for departures from socially
sanctioned practices. Thus, for example, ineffective psychotherapeutic
methods and folk medical systems are much more difficult to supplant
200 MODELING AND VICARIOUS PROCESSES

when people are frightened by beliefs that innovative procedures will

adversely affect them in ill-defined times and ways than when such
foreboding beliefs have not been used to reinforce adherence to existing
customs.
A fourth obstacle to the successful introduction and diffusion of new
modes of behavior is created by individuals in positions of authority who
have a vested interest in preserving traditional prestige and power
structures. They are apt to oppose actively any changes that may threaten
their social and economic status, particularly if new programs are associ-
ated with outside agencies. Elite countereontrol is generally maintained
1

through coercive pressures on less advantaged members who have the

most to gain from changes and are therefore more receptive to new ways.
It is evident from the preceding discussion that if programs designed

to alter sociocultural patterns are to meet with success, they must employ
powerful change procedures to overcome the unfavorable conditions of
reinforcementinitially associated with unaccustomed practices. Attitude-

change approaches have been employed extensively on the assumption

that a modification in the belief system is a vital prerequisite to accept-
ance" of new proved only partially successful.
behaviors. This strategy lias

A different approach, which concentrates on new alternatives rather than

on hindrances, arranges optimal conditions for producing the desired be-
havioral changes. New practices that arc beneficial to the user eventually
become strongly established, and incontinent attitudes either will be
modified to coincide with adopted behavior or they will be construed in
1

a manner that is consistent with pre-existing beliefs.

Among the variety of methods available for accelerating social
changes, modeling plays a highly influential role. If new response pat-
terns are to be" learned, potential adopters must be provided with models
competent to display the" desi re-el behavior and who are especially likely
to be" emulated. Since vicarious reinforcement can facilitate modeling,
those exemplifying advocated patterns should be" appropriately rewarded
to demonstrate to others the" benefits of new practices. In addition to
modeling influences, new reinforcement contingencies must be introduced
into the social system to favor adoption and continued performance of
new behavior patterns (Holmberg, 1960). The beneficial effects of new
skills and practices usually do not become apparent until they have been

applied over an extended period. A change agent may, for example, be

faced with the problem of getting skeptical people to institute and con-
tinue an irksome water purification project over a long period before they
can obtain any clear evidence that it reduces infectious diseases. As
Erasmus ( 1961 ) has noted, new cultural practices are most readily ac-

cepted when they produce immediate inspectional benefits and the causal
relationship between new behavior and advantageous outcomes can be
Utilization of Modeling Principles in Planned Sociocultural Change 201

The issue of spectacularity and immediacy of results prob-

easily verified.
ably accounts for the preference of aggressive over less obstreperous
means of forcing social changes.
In cases where the advantages to be gained fromnew behavior pat-
terns are considerably delayed, necessary to provide subsidiary im-
it is

mediate incentives to sustain them until the long-term benefits occur

and assume the reinforcing function. These temporary substitute re-
wards may involve financial compensations, social recognition, positions
in new leadership hierarchies, and appropriate forms of status-conferring
symbolic rewards. It is quite possible that many of the failures of cultural

change programs that are attributed to resistance arising from conflicting

from failure to provide emulative models and ade-
beliefs in fact result
quate reinforcement supports for unaccustomed practices.
Another important factor that militates against social change is that
persons who adopt the new patterns of behavior are often subjected to
negative sanctions from envious peers and powerful officials whose vested
interests may be jeopardized. This creates especially difficult problems
when those in positions of power undermine and block social reforms that
do not promote their own self-interests but are beneficial for, and desired
by, less advantaged persons. Under these circumstances, little change
will result unless persons who adopt new patterns are protected from
maltreatment, and conditions are arranged so that the new practices
provide some benefits for all concerned. This can be partly achieved
through the use of socially interdependent contingencies in which a
given person's rewarding outcomes are determined by both the degree
towhich he performs the desired behavior and a composite of individual
performances of the entire group. It will be shown in Chapter 4 how the
addition of group reinforcement can favorably affect the performance
of its members. However, if an organized minority continues to force

compliance with traditional practices, then aversive controls must be

applied. Desired objectives must be enforced through social legislation,
and defiance must produce costlv consequences. This presupposes that
change agencies exercise some degree of control over the rewarding
resources available to communities and their leadership, that they have
the power to impose negative sanctions, and that they have sufficient
social support to withstand the political repercussions of enforced
changes. In an effort to avoid offending the existing leadership, social
agencies generally rely for the implementation of desired changes upon
the traditional elite, who, unfortunately, often utilize such opportunities
to further promote their self-interests.
Under conditions where advocates of innovations have no rewarding
nor controlling power, they must first establish their value by demon-
strating, in areas that engender little or no resistance, that the practices
202 MODELING AND VICARIOUS PROCESSES

they advocate yield highly favorable outcomes. After they have thus
enhanced their credibility and modeling potency they are in a more
favorable position to attempt modifications that conflict with existing
traditions and vested interests.

Summary
This chapter is principally .concerned with modeling processes where-
by new modes of behavior are acquired and existing response patterns
are extensively modified through observation of other people's behavior
and its consequences for them.
A
multiprocess theory of observational learning was advanced, accord-
ing to which modeled stimulus events are transformed and retained in
imaginal and verbal memory codes. Later, reinstatement of these repre-
sentational mediators, in conjunction with appropriate environmental
cues, guide behavioral reproduction of matching responses. Performance
of observationally learned responses is largely regulated bv reinforcing
outcomes that may be externally applied, self-administered, or vicariously
experienced. Since modeling phenomena are controlled by several interre-
lated subprocesses, the absence of modeling effects in any given case
may result from either failures in sensory registration due to inadequate
attention to relevant social cues, deficient symbolic coding of modeled
events into functional mediators of overt behavior, retention decrements,
motor deficiencies, or unfavorable conditions of reinforcement.
Modeling procedures have been extensively employed, with consider-
able success, for many purposes, especially for developing conceptual and
interpersonal modes of behavior. In this approach agents of change model
requisite behaviors and arrange optimal conditions for recipients to
learn and to practice the activities until they are performed skillfully
and spontaneously. In addition to the utilization of modeling principles
for establishing social and cognitive competencies, emotional responsive-
ness can be conditioned and extinguished on a vicarious basis. In the
case of vicarious affective conditioning, exposure to a model's emotional
reactions arouses in observers emotional responses which become condi-
tioned, through contiguous association, to distinctive cues present in the
situation. However, the degree of vicarious responsiveness is partly de-
pendent upon an intermediary self-stimulation process involving symbolic
representation of similar consequences occurring to oneself in the same
situation. Affective expressions of a model are most likelv to elicit high
self-arousal in observers under conditions where the participants have
experienced similar pleasurable or painful experiences.
Vicarious extinction of emotional behavior is achieved by exposing

an observer to modeled events in which a performer's approach responses

Summary 203

toward feared objects do not produce adverse effects or may engender

positive consequences. Studies of vicarious extinction reveal that this
procedure, particularly when combined with guided participation, not
only produces enduring and generalized reductions in tenacious avoid-
ance behavior, but it also induces long-lasting attitudinal changes and
decrements in fearfulness toward objects that were never specifically
A major factor in modeling procedures
included in the treatment program.
that expedites behavioral changes is assumed to involve vicarious ex-
tinction of arousal reactions below the level for activating avoidance
responses, thus enabling persons to perform approach behaviors. The
fact that elimination of the arousal potential of threatening stimuli
through a nonresponse extinction procedure subsequently reduces avoid-
ance behavior provides further support for a dual-process learning
theory in which classically conditioned effects partly govern instrumen-
tally learned responses.
Exposure to modeled events may also strengthen or weaken observers'
inhibitions of existing patterns of behavior. The occurrence of these
inhibitory and disinhibitory effects is mainly determined by actual or
inferred response consequences to the model. Positive reinforcement of
models' actions generally facilitates similar behavior in observers if it is

appropriate to their social role and status, whereas observation of punish-

ing consequences to models tends to inhibit similar responsiveness in
others. These vicarious reinforcement effects may result from the infor-
mation conveyed by the model's outcomes as to what constitutes per-
missible or punishable actions in particular situations, from motivational
increases created bv witnessing others receive desired incentives, from
changes in model status produced by disparaging or laudatory social
reactions,and from vicarious acquisition or extinction of emotional re-
sponses through exposure to the affective expressions of models undergo-
ing rewarding or punishing experiences.
The behavior of models often functions merely as discriminative
stimuli in facilitating the expression by others of similar behaviors that
ordinarily are not subject to negative sanctions and therefore do not
involve inhibitory mechanisms. Social models differ considerably in the
extent to which their behavior is likely to be successful in producing
favorable outcomes. As a result of repeated differential reinforcement
for matching models who differ in intelligence, age, socioeconomic status,
social and vocational competencies, prestige and power, model attributes
that signify probable consequences for exemplified behavior determine in
large part which models will have greatest response-facilitating effects.
Because social behavior is extensively under modeling stimulus control, the
attitudes and actions of groups can be modified by altering the conduct
norms modeled by major sources of behavioral contagion.
204 MODELING AND VICARIOUS PROCESSES

REFERENCES
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CHAPTER 4 Positive Control

In the modification of psychological conditions that reflect

primarily behavioral deficits, the development of complex repertoires of
behavior and the strengthening of existing responses constitute impor-
tant objectives. Moreover, after behavior has been well established,
appropriate conditions must be created to maintain it at a satisfactory
level.Reinforcement procedures are best suited for these purposes.
It has been amply demonstrated that behavior is controlled to a
large extent by its consequences. Any attempts, therefore, to produce
enduring changes in responsiveness must alter the incidence, and often
the nature, of reinforcing outcomes that are customarily produced by
given modes of response. There are two broad classes of consequences
— —
rewarding and punishing events that serve as important determinants
of behavior. The present chapter is mainly concerned with the establish-
ment of response patterns and their maintenance through systematic
application of positive reinforcement.

Theoretical Interpretations of Reinforcement Processes

When a given response is followed by a positively reinforcing conse-

quence, it increases the likelihood that the response will be repeated on
subsequent occasions. Although there is little dispute about the validity
of the empirical principle of reinforcement, numerous alternative ex-
planations have been proposed for the manner in which reinforcement
produces its effects (Hilgard & Bower, 1966; Kimble, 1961). The various
theoretical approaches differ in the extent to which they consider drive
states, stimulus events, or response properties to be the critical factors
governing reinforcement processes.
218 POSITIVE CONTROL

DRIVE-REDUCTION HYPOTHESIS

One influential theory of reinforcement (Hull, 1943) assumes that

the effects of reinforcing consequences are produced by need-reduction.
In interpreting the process of primary reinforcement, it is assumed that
deprivation or painful stimulation produces a physiological need giving
rise to a drive that activates behavior. A reinforcing event is one that

reduces a drive by satisfying or removing the need. A more comprehen-

sive form of this drive-reduction view was advanced by Miller &
Dollard (1941), who emphasize the activating properties of strong
stimuli rather than needs. According to their stimulus-reduction theory,
any stimulation, regardless of whether it is based upon a need, can be-
come a drive if it is made sufficiently intense; reduction of aversive
stimulation has reinforcing effects.
There an extensive body of evidence that drive-inducing oper-
exists
ations greatly enhance the potency of reinforcing stimuli, and that at-
tenuation or termination of aversive stimulation can have strong reinforc-
ing effects on behavior. The homeostatic conception of reinforcement
receives some further support from studies demonstrating that procedures
designed to alter physiological states directly, while excluding secondary
reinforcement deriving from sensoiy stimulation and consummatory re-
sponses, can function as effective reinforcers for overt behavior. Food-
deprived animals, for example, learn to make responses that result in
nutrients being delivered directly into their stomachs (Miller & Kessen,
1952) or glucose being injected intravenously (Chambers, 1956; Coppock
& Chambers, 1954) contingent upon correct performances. Similarly,
intravenous insulin injections, which produce rapid decreases in blood
sugar level, have a punishing effect upon behavior (Coppock, Headlee,
&Hood, 1953).
The assumption that reinforcement requires drive-reduction was
initiallyquestioned by experiments demonstrating that nonnutritive sac-
charin reinforced behavior (Sheffield & Roby, 1950). Similarly, copulation
without ejaculation, which produces no reduction in tension (Sheffield,
Wulff, & Backer, 1951; Whalen, 1961), could serve as an effective reward.
However, the conclusions drawn from these findings regarding the validity
of the drive-reduction theory of reinforcement have been challenged by
Miller (1963), on the basis of evidence that prefeeding hungry animals
with saccharin does in fact reduce their subsequent consumption of food,
and on the assumption that sex may not involve a unitary drive that can
be reduced only by ejaculation. In replying to criticisms of drive-reduc-
tion theory on the grounds that people often engage in behavior that
produces heightened stimulation, Brown (1955) pointed out that drive
cannot be defined solely in terms of intensity of stimulation. The reason
Theoretical Interpretations of Reinforcement Processes 219

for this is that strong stimuli can lose their activating function if pre-
sented in gradually increasing values, if they have been associated with
rewarding experiences, or they become discriminative for less active
if

responding. Therefore, Brown

cogently argues that definition of a drive
stimulus must include, in addition to its intensity, other criteria such as
theamount and type of previous experience with the stimulus, and the
manner and context in which it is presented.
It should be noted in passing that, although results from experiments
involving fistula feeding and nutritive injections demonstrate that re-
duction of a physiological need can be sufficient to reinforce an instru-
mental response, such studies do not necessarily establish the physiologi-
cal bases of reinforcement. Any such physiological explanation may
ultimately be carried to the point where reinforcing effects are interpreted
in terms of intracellular changes. While relationships established at the
molecular level have considerable theoretical significance regarding the
basic mechanisms of reinforcement, knowledge of this type is of limited
usefulness in devising incentive programs, since it is extremely unlikely
that in social practice one would alter neurophysiological events directly
in order to influence responsiveness.

SENSORY-STIMULATION HYPOTHESIS
Although some reinforcement effects may be governed by visceral
drive states, there are many reinforcing conditions that do not appear to
involve reduction of physiological needs or removal of aversive stimuli,
unless one to invoke a host of sensory and activity drives. Animals
were
will learn to perform responses that produce visual and auditory stimula-
tion or opportunities to engage in manipulative and exploratory activities
(Barnes & Baron, 1961; Butler, 1958a; Kish, 1966; Miles, 1958). A num-
ber of studies, conducted principally with infants ( Rheingold, Stanley, &
Doyle, 1964) and children (Odom, 1964; Stevenson & Odom, 1964), have
likewise shown that visual and auditory feedback can be effective in
modifying and sustaining behavior over time. These findings would seem
to indicate that much human behavior —particularly approach, attending,
and manipulative responses — is reinforced feedback that
by the sensory
is automatically produced.
Investigations of factors that might contribute to the reinforcing
properties of auditory and visual events have revealed that novel and
complex stimuli function as more effective reinforcers than simple and
familiar stimulus events. The data furthermore indicate that, as is the

case with biologically related incentives, the potency of sensory rein-

forcers is increased by deprivation of sensory experiences and diminished
by stimulus-satiation operations.
The existence of sensory reinforcement has been convincingly demon-
220 POSITIVE CONTROL

strated, but the nature of the mechanisms underlying the phenomenon is

by no means clear. Berlyne (1960) and Harlow (1953) have posited
curiosity, manipulative, and exploratory drives that are presumed to be
elicited by external, novel stimuli and reduced by continuous exposure to
such stimulation. In the prototypic experiment, animals placed in a light-
proof and sound-attenuated box learn to perform discriminative responses
that open a door allowing them either to view the outside environment
for a few minutes, or to press levers for auditory stimulation. The major
difficulty in accounting for the animals' behavior in terms of an externally
aroused curiosity drive is that the animals are not exposed to the novel
stimuli until after the responses, ofwhich the stimuli are the presumed
cause, have been successfully executed. As Brown ( 1953 ) points out, "If
visual exploration provided the only significant motive, then the monkeys
must have been unmotivated until the window was opened following a
correct response. But the monkeys did appear to be motivated. One
might conclude, therefore, that the effective motivation was aroused
before the monkeys were allowed to see, not as a consequence of seeing
[p. 54]." The more distally occurring visual and auditory experiences can
serve as reinforcing events, but it is evident that the instrumental re-
sponses must be activated by antecedent stimuli.
Both Miller (Myers & Miller, 1954) and Mowrer (1960) have rein-
terpreted sensory reinforcement effects in terms of reduction of an aver-
sive drive. Thev assume that monotony produces boredom, which has
aversive properties, and that close confinement and drastic reduction of
sensory contact with one's environment can generate considerable appre-
hension. Miller and Mowrer therefore contend that, if changes in sensory
stimulation are boredom-relieving or anxiety-reducing, then behavior is

reinforced by its sensory feedback in a manner consistent with drive-

reduction theory. One would encounter no problems in testing the efficacy
of sensory reinforcers under conditions that do not arouse anxiety, but it

is exceedingly difficult to maintain a low or unvaried level of sensory

input, which in large part determines the incentive value of specific audi-
tory and visual stimuli, without producing concomitant boredom. The
problem of determining whether sensory reinforcement effects are attrib-
utable to elimination of boredom or to inherent rewarding properties of
novel stimuli is further complicated by the fact that most exploratory
activities undergo rapid satiation.
Some investigators ( Fox, 1962; Isaac, 1962; Leuba, 1955 ) have offered
a neurophysiological explanation of sensory reinforcement that is similar
in some respects to the operation of homeostatic drives. Based on evidence
that prolonged deprivation of sensory input results in psychological dys-
functioning, it is assumed that for normal physiological functioning the
organism must maintain an optimal level of sensory stimulation. There-
Theoretical Interpretations of Reinforcement Processes 221

fore, subjects will perform instrumental responses to increase sensory

input if there is a deficit, and conversely, they will work to reduce sensory
stimulation if it exceeds the optimal level.

on the basis of a drive for optimal quanta of

It is difficult to explain,

sensory stimulation, why

animals confined in a drab, light-proof, sound-
attenuated box will work unflaggingly for certain sights and sounds but
will refrain from performing responses that are instrumental in producing
negatively valenced stimuli in the same sensory modalities. Thus, mon-
keys perform responses for the opportunity to view other monkeys, movies,
electric trains, and to hear sounds of a monkey colony in the outside
environment, whereas the sight or sound of a dog, and distress vocaliza-
tions, readily suppress their exploratory tendencies (Butler, 1954; 1958b).
The findings clearly indicate that the content rather than the amount of
sensory input may be the critical factor determining the incidence of
amount of sensory stim-
exploratory responses. Studies in which both the
ulation and the conditioned valence of auditory or visual stimuli are
systematically manipulated would provide the basis for determining
whether sensory reinforcement effects are best interpreted in terms of
principles of optimal stimulation, secondary reinforcement, or their inter-
active effect.
The existence of sensory, manipulative, and exploratory drives is

usually inferred from response patterns rather than defined in terms of

antecedent conditions for producing the specific drive. Unless drives and
responses are operationally differentiated, there are no limits to the pro-
liferation of drive states which can be more economically explained in
terms of response dispositions. If independent criteria are not employed,
new drives or motives may be invoked for each reinforcing event or
prevalent behavior.

PREPOTENT-RESPONSE HYPOTHESIS
In describing the essential properties of reinforcing events, emphasis
has usually been placed on the nature of the reinforcing stimuli (e.g.,
and approval, intracranial
food, money, novel sensations, social attention
stimulation, etc. ) , and their efficacy under varying conditions of depriva-
tion. On the basis of results from an ingenious series of experiments,
Premack ( 1965 ) has presented an explanation of reinforcement that em-
phasizes the reinforcing response rather than the reinforcing stimulus. In
these investigations the reinforcement values of different activities are
estimated from the duration for which subjects spontaneously engage in
particular behaviors when no time or response restrictions exist. If the
opportunity to engage in the more rewarding activity is made conditional
upon the prior performance of low probability behaviors, then the latter
responses increase in frequency. Based on these findings, Premack has
222 POSITIVE CONTROL

proposed the following principle of reinforcement: For any pair of ac-

tivities, the more probable one will reinforce the less probable one.

Data observed by Premack indicate that, under appropriate conditions,

almost any activity can function as an effective reinforcer. Thus, animals
that prefer running to eating will perform consummatory responses in
order to release an activity wheel that permits them to sprint, whereas
subjects that would rather eat than run will engage in running behavior
in order to gain access to food. Moreover, by manipulating deprivational
conditions, the reinforcement relation between activities can be easily
reversed, with the result that reinforcing events are converted into rein-
forceable events. To continue with the previous example, eating will
reinforce running behavior in food-deprived animals, but after they have
been fed and their mobility restricted, eating can serve as the instru-
mental activity that is reinforced by opportunities to run. Reversibility is
apparently a general phenomenon extending even to intracranial self-
stimulation, which can serve as an extremely powerful reinforcer of in-
strumental responses. When the probability of drinking, for example, is

greater than brain stimulation, drinking reinforces intracranial self-stimu-

lation ( ICS ) and conversely, in animals for which ICS is more rewarding
,

than drinking, making ICS conditional upon drinking produces an

increase in drinking behavior (Holstein & Hundt, 1965). If further
research should demonstrate that electrical stimulation of the limbic
system, which is assumed to be inherently reinforcing, is itself reinforce-
able by contingent response events, then one might question the existence
As Premack
of an integrated brain center that governs all reinforcement.
points out, onewould have to locate another region of central reinforce-
ment in cases where intracranial stimulation is increased by its instru-
mental value in producing more highly preferred response events. It is
also unclear how explanations in terms of central reinforcement focuses
can readily account for the reversal of instrumental and rewarding func-
tions of any given activity. Indeed, the experimental evidence con-
vincingly demonstrates that reinforcement is a relational rather than an
absolute property of the activity. A particular response event will have
no reinforcing potency in relation to a more highly preferred activity, but
it will function as an effective positive reinforcer when paired with re-

sponses of lesser value.

When reinforcing events are defined in terms of their effects — as
stimuli that increase the probability of preceding responses —the empirical
principle of reinforcement is open to the criticism of circularity. In re-
buttal, Meehl (1950) contended that this criticism ignores the fact that
is, a stimulus that has been found to
reinforcers are transsituational, that
be one response can be used predictively to rein-
effective in reinforcing
force other types of responses. The findings discussed above, however,
Theoretical Interpretations of Reinforcement Processes 223

indicate that the assumption of transsituationalityis valid only under cer-

tain limiting conditions because most stimuli do not possess generalized

reinforcing potency. Premack solves the circularity problem by defining
the reinforcing power of different consequences independently of response
changes.
It appears highly doubtful that the reinforcing effects of prepotent
responses are interpretable as drive-reduction processes or sensory drive
mechanisms. There has been virtually no speculation or research concern-
ing the specific aspects of prepotency that contribute to its reinforcing
potential, and, therefore, the associated processes remain obscure. Al-
though the prepotent-response principle can encompass a wide range of
conditions which function as effective reinforcers, it cannot account for
the efficacy of consequences that do not involve performance of responses.
Thus in cases where behavior is strengthened either by nutrients delivered
directly into the stomach or blood stream, or by more conventional conse-
quences such as praise, positive attention, monetary rewards, or various
types of sensory feedback, it appears difficult to apply the prepotent-
response principle. Even when pairs of responses are arranged in a con-
tingent relationship, correct specification of the reinforcing event is com-

plicated by the fact that changes in sensory stimulation accompanying

the behavior rather than the activity per se may be primarily responsible
for the reinforcement effects. The relative contribution of sensory conse-
quences of behavior to the total reinforcing effect can be assessed by
vicarious paradigms inwhich the responses of a yoked observer are main-
tained by witnessing the changes in visual and auditory stimulation
produced by a performer's actions.
It is evident from this brief review that exceedingly diverse events,

which have no apparent common properties, can all serve a reinforcing

function. A
theory of reinforcement that adequately integrates these
heterogeneous consequences into a unified system has yet to be formu-
lated. Considering that the reinforcing potency of a given event is rela-
tionally determined, a comprehensive theory of reinforcement cannot be
based on properties inherent in the event itself. The experimental findings
nevertheless indicate that better use can be made of a wider range of
reinforcers than is generally employed in programs of behavioral change.

INCENTIVE FUNCTION OF REINFORCERS

The discussion thus far has been primarily concerned with the per-
formance-enhancing effects of various contingent events, whether they be
drive-reducing, sensory, or in the form of prepotent activities. Two differ-
ent explanations have been proposed as to how reinforcing consequences
affect behavior. Some reinforcement theories assume that positive response
outcomes have a direct strengthening effect on stimulus-response associa-
224 POSITIVE CONTROL

tions and that therefore learning occurs only as a consequence of rein-

forcement. Contiguity theory, on the other hand, distinguishes between
acquisition and performance. Learning, according to this view, can occur
through contiguous association of stimulus events and accompanying
cognitive processes in the absence of immediate rewards and punish-
ments. To test for contiguity learning a variety of experimental paradigms
have been employed in each of which either overt responding or rein-
forcement, both necessary for associative strengthening, are eliminated.
The overall results of these investigations provide substantial support for
the contiguity principle. In sensory preconditioning studies, for example,
if one of two neutral stimuli that have been repeatedly paired is then
conditioned to a response, the second stimulus also becomes capable of
evoking the response without any direct reinforced association (Seidel,
1959). Many experiments, utilizing surgical and curare procedures to
prevent motor responding during acquisition or extinction, have con-
sistently obtained learning in the absence of overt responding. Similarly,
innumerable modeling studies have shown that new response patterns
can be acquired observationally without observers themselves either en-
gaging in any overt activity or receiving any reinforcing stimulation.
Although response acquisition is largely dependent upon stimulus
contiguity, reinforcement variables are considered to be highly influential
in regulating performance. However, in this more cognitive interpreta-
tion of behavioral change processes, reinforcers are assumed to affect
performance primarily through their informative and incentive functions.
Reinforcing consequences convey information about the type of behavior
required in a given situation. Anticipation of desired rewards for per-
forming the requisite behaviors can increase and maintain appropriate
1

responsiveness even though presentation of the earned reinforcers may

be delayed for a considerable time. Indeed, in most instances persons are
motivated by, and work for, anticipated rewards rather than immediate
reinforcing outcomes.
Contiguous occurrence of stimulus events is no assurance that they
will necessarilybe observed. Anticipated rewards can influence to some
degree what people will pay attention to. Thus by arousing, focusing,
and sustaining attentiveness to relevant stimulus events, which is neces-
sary for learning, reinforcers may serve as indirect determinants of
response acquisition. The major controversy between learning theories is

therefore concerned with the manner in which reinforcement affects

learning rather than with whether reinforcement plays a role in the

acquisition process.
The basic assumption that reinforcement is a prerequisite for learning
is difficult to refute empirically. Demonstrations of learning through con-
Essential Components of Reinforcement Practices 225

tiguity alone are often discounted by invoking obscure or undetected

sources of reinforcement that are presumed to be operative in the situa-
tion. A purely cognitive interpretation of reinforcement effects is, how-
ever, challenged by results of experiments with infrahuman subjects in
which reinforcing nutrients are introduced either directly into the stomach
or intravenously. In these instances the reinforcers are not observable and
consequently, their response-enhancing effects cannot be attributed to
informative or incentive factors. The overall evidence would seem to
indicate that reinforcers can have both associative strengthening and
performance-enhancing effects.

Essential Components of Reinforcement Practices

There are three essential features in the successful application of
reinforcement procedures. First, one must select reinforcers that are
sufficiently powerful and durable to maintain responsiveness over long
periods while complex patterns of behavior are being established and
strengthened. Second, the reinforcing events must be made contingent
upon the desired behavior if they are to be optimally effective. And third,
a reliable procedure for eliciting or inducing the desired response patterns
is essential; otherwise, if they rarely or never occur there will be few
opportunities to influence them through contingent reinforcement.

INCENTIVE SYSTEM

It is generally acknowledged that motivation is crucial for behavioral

change. In most personality theories motivation is conceptualized as
enduring energy systems within the organism, variously labeled as needs,
drives, or motives, which impel and sustain responsiveness. When motiva-
tion is treated as though it were a persisting internal entity, this type of
orientation not only impedes development of efficacious change programs,
but it creates pessimism about the possibility of treating persons who
presumably lack the requisite motivation. It also provides a convenient
rationale for failures that primarily result from reliance upon weak
methods of behavioral control.
Incentive theories of motivation assume that behavior is largely
activated by anticipation of reinforcing consequences. From this point
of view, motivation can be regulated through arrangement of incentive
conditions and by means of satiation, deprivation, and conditioning oper-
ations that affect the relative efficacy of various reinforcers at any given
time. Thus, for example, in producing intellectual strivings in children
who display little interest in academic pursuits, one would arrange favor-
able conditions of reinforcement with respect to achievement behavior
226 POSITIVE CONTROL

rather than attempt to create in some ill-defined way an achievement

motive, the presence of which is typically inferred from the behaviors it
presumably actuates.
Given that performance is extensively determined by reinforcement
conditions, the development and selection of an effective incentive system
is of central importance. The influential role of reinforcement variables in
behavioral change is illustrated by results of experiments comparing re-
sponsiveness with and without contingent reinforcement. As part of a
program of research on reading, for example, Staats and his colleagues
(Staats, Staats, Schutz, & Wolf, 1962) presented to preschool children
programmed material designed to teach them to read words individually
and then combined into short sentences. When the children were praised
for correct responses but were offered no extrinsic rewards, they worked
at the reading tasks for 15 to 20 minutes and then became bored and
restless and asked no longer wished to remain in the
to leave. After they
situation, tangible rewards, candy treats, trinkets, and
consisting of
tokens that could be exchanged for attractive toys, were introduced.
Under the influence of the positive reinforcers, made conditional upon
reading achievements, the children's limited "attention span" suddenly
expanded, and they not only worked enthusiastically at the reading task
for 45 minutes, but participated actively in additional sessions.
A second group of four-year-olds originally performed the reading task
under reinforcement conditions for two sessions, then the rewards were
discontinued until the children ceased to participate, following which
extrinsic incentives were again reinstated. During the initial reinforced
and worked
sessions the children attended closely to the reading material
actively at acquiring new reading responses. When reinforcers were with-
drawn, however, the children's attention, participation, and reading
achievements rapidly deteriorated. Staats (1965) has further demon-
strated that, given an appropriate incentive system, even very young
children will engage in complex learning activities with sustained interest
over an extended series of sessions.
The marked changes in positive responsiveness noted in the above
studies illustrate how low persistence on academic tasks resulting from
inadequate incentives is often erroneously attributed to basic deficits in
the child in the form of short attention span or low frustration threshold.
Levin & Simmons (1962) similarly found that low persistence in hyper-
aggressive boys, which is generally interpreted in clinical theory ( Redl &
Wineman, 1951) high impulsivity, weak ego control, and a
as reflecting
generalized inability to tolerate frustration, may in fact be due to inade-
quate positive reinforcement. When boys were merely praised for appro-
priate responses, they rapidly ceased responding, sometimes in a highly
disruptive fashion, by tossing the material out of the window or by climb-
Essential Components of Reinforcement Practices 227

On the other hand, when food was used as a rein-

ing on filing cabinets.
boys continued to work at the task even though reinforcement
forcer, the
was progressively reduced and eventually discontinued altogether. The
supposedly short attention span of brain-damaged and retarded children
has also been markedly increased by creating favorable incentive condi-
tions (Martin & Powers, 1967). The foregoing studies, and results ob-
tained by other investigators (Slack, 1960; Whitlock & Bushell, 1967;
Wolf, Giles, & Hall, 1968) indicate that extrinsic incentives are often
essential, particularly during early phases of behavioral change programs.
The incentive question poses greatest problems in the treatment of
people who present severe and profound retardation in social develop-
ment. As previously noted, such individuals are generally unresponsive to
verbal stimuli, customary social reinforcers are ineffective in modifying
their behavior, and the selected activities often lack acquired reward
value for them. In such cases, change agents are forced to rely initially
upon primary form of food. In order to enhance
reinforcers, usually in the
treatment effects, conditioning sessions are typically conducted prior to,
or during, mealtimes when food rewards are most effective in sustaining
a high level of responding (Lovaas, Berberich, Perloff, & Schaeffer, 1966).
Although food rewards may be effectively employed for short periods,
they cannot be relied upon exclusively in change programs. Food prefer-
ences often vary considerably among individuals and even within the
same person from time to time. More important, however, the incentive
value of food is highly dependent upon the level of food deprivation at
any given moment; consequently, food rapidly loses its reinforcing power
through satiation. Since change programs require frequent, and some-
times lengthy, sessions, it is necessary to make use of reinforcing events
possessing more enduring incentive value.
For individuals who present gross deficiencies in conditioned rein-
forcers,and who are therefore responsive only to primitive physical con-
sequences, an important initial objective of treatment is to endow social
and symbolic stimuli with reinforcing properties. The development of
social reinforcers is particularly critical, since human behavior is fre-

quently strengthened, sustained, and modified by praise, approval, en-

couragement, positive attention, and affection.
Ordinarily a neutral stimulus acquires reinforcing properties through
repeated association with primary reinforcement ( Kelleher & Gollub, 1962;
Zimmerman, 1957). In their work with Lovaas and his
autistic children,
associates (Lovaas, Freitag, Kinder, Rubenstein, Schaeffer, & Simmons,
1966) found that negatively reinforcing properties could readily be con-
ditioned to the verbal stimulus "no" through association with aversive
stimulation. On the other hand, numerous sessions in which the word
"good" was contiguously paired with food failed to endow the social
228 POSITIVE CONTROL

stimulus with any reward value. The contrasting results were attributed
to differential attentivenesson the part of the children. They were highly
attentive to external cues during negative stimulation, whereas in sessions
employing rewards they engaged in considerable self -stimulatory behavior
and appeared oblivious to the relevant social stimuli. It was therefore
decided to employ an instrumental conditioning paradigm in which the
children received food rewards only if they approached the therapist
whenever he said the word "good." The children were thus required to
attend closely to the appropriate verbal cue and to discriminate it from
other stimuli occurring at the same time. After the social stimulus had
been established as discriminative for primary reinforcement, the chil-
dren's approach responses were intermittently rewarded on a gradually
increasing ratio in order to further enhance the rewarding capacity of the
verbal cue. This procedure proved highly effective. In later phases of the
experiment, new responses could be established and maintained in autistic
children through contingent presentation of verbal approval alone. More-
over, the social stimulus retained its reinforcing potency over an extended
period on the basis of periodic association with food rewards.
With less severely autistic children social reinforcers were established
more readily. In these eases verbal approval and affection in the form of
demonstrative pats and hugs sustained the children's positive responsive-
ness during numerous sessions devoted to language learning and the
acquisition of social skills. Occasionally, however, food rewards accom-
panied the social reinforcers as a means of preserving their efficacy. Many
of the change programs discussed later rely heavily upon interpersonal
reinforcers in which desired behavior is responded to with attention,
interest, and approval while undesired activities are either consistently
ignored or socially disapproved.
A stimulus that has been associated on numerous occasions with many
types of primary as well as secondary reinforcements acquires the capacity
to function as a generalized reinforcer. In the treatment of young chil-

dren or adults for whom positive social and verbal have weak
stimuli
incentive value, tangible generalized reinforcers are frequently employed.
Appropriate performances are rewarded with monetary credits, tokens, or
points that can later be used to obtain a variety of rewarding objects and
special privileges. A token incentive system has several advantages over
other forms of material rewards: The reinforcing value of tokens is rela-

tively independent of momentary deprivational states; tokens are not

subject to satiation effects and therefore retain their incentive properties
over long periods; they can be easily presented, if necessary, immediately
upon appropriate performance; and finally, since individuals can exchange
their token savings for a variety of attractive items of their own choosing,
Essential Components of Reinforcement Practices 229

motivation and responsiveness are likely to remain at a consistently high

level.
In recent years extensive use has been made of Premack's ( 1965 ) dif-
ferential probability principle in selecting reinforcing events. Because
certain preferred activities can reinforce activities of lesser value, count-
less events may be effectively employed to initiate and maintain desired
behavior. In practical applications of this principle (Homme, 1966), a
person essentially agrees to perform a certain amount of low probability
behavior to engage in a more preferred activity for a specified time. Apart
from its flexibility and simplicity, this type of reinforcement system
permits one to utilize naturally occurring activities as reinforcers simply
by arranging them temporal contingencies. Rewarding
in appropriate
used in combination with generalized reinforcers.
activities are frequently
In such applications individuals earn tokens for performing desired be-
haviors which can later be used to obtain, among other things, access to
preferred activities.
The preceding discussion has emphasized the influential role of ex-
trinsic reinforcement with persons who, for one reason or another, display
intrinsic motivation insufficient to develop the behavioral repertoires nec-
essary for coping effectively with customary environmental demands. It
should be emphasized at this point, however, that in a thoughtfully
planned treatment program, as newly established patterns of behavior
acquire secondary reinforcing properties extrinsic incentives should be
gradually withdrawn and replaced with more symbolic and self-monitored
reinforcement systems. This issue, which bears on questions of the dur-
ability of induced changes and the humanistic implications of different
forms of behavioral influence, will be discussed at length in a subsequent
section of this chapter.

ARRANGEMENT OF CONTINGENCIES
After appropriate reinforcers that have sufficient incentive value to
maintain stable responsiveness have been chosen, the contingencies be-
tween specific performances and reinforcing stimuli must be arranged.
Parents, teachers, and psychotherapists intuitively employ rewards in
their attempts to influence and modify behavior, but their efforts often
produce limited because the methods are used improperly, incon-
results
sistently, or inefficiently. In many instances considerable rewards are
bestowed, but they are not made conditional upon the behavior that
change agents wish to promote; long delays often intervene between the
occurrence of the desired behavior and its intended consequences; spe-
cial privileges, activities, and rewards are generally furnished according
to fixed time schedules rather than performance requirements; and, in
230 POSITIVE CONTROL

many cases, positive reinforcers are inadvertently made contingent upon

the wrong types of behavior.
Most residential treatment programs, for example, are conducted on a
contingent-punishment, noncontingent-reward basis. That is, the partici-
pants obtain the maximum rewarding few strings attached,
benefits with
but these rewards and privileges are promptly withdrawn whenever the
residents are uncooperative, defiant, or disruptive. In one residential treat-
ment center for delinquent boys that the writer had occasion to visit,
children are given 20 points upon their arrival, which initially ensures
them access to all of the rewarding resources that the institution has to
offer. However, the boys are penalized by loss of points and accompany-

ing privileges for deviant behavior and infractions of house rules. Within
an institutional setting in which noncontingent rewards are provided at
a high level, the staff members are cast in the unenviable role of punitive
agents, and the boys can move onlv in a downward direction. Thus, the
threat of punishment is ever present, but the positive incentives for be-
havioral change, though abundantly available, are poorly managed. Under
these circumstances, the majority of the participants comply halfheartedly
with the minimum demands of the institution in order to avoid penalties
for any breach of the rules. Similarly, in most psychiatric facilities, pa-
tients can best maximize their rewards by merely adopting a passive
patient role.
The necessity for arranging appropriate reinforcement contingencies
is dramatically illustrated by studies in which rewards are shifted from
a response-contingent to a time-contingent basis ( Lovaas, Berberich, Per-
loff, & Schaeffer, 1966; Baer, Peterson, & Sherman,
1967). During sessions
in which rewards are made conditional upon occurrence of the desired
behavior, the appropriate response patterns are exhibited at a consist-
ently high level; by contrast, under conditions where the same rewards
are given but after a certain time has elapsed, independent of the client's
behavior, there is a marked drop in the desired behavior. Reinstatement
of response-contingent reinforcement promptly restores the high level of
responsiveness. These behavioral changes are particularly striking con-
sidering that interpersonal relationship factors and the amount of reward
remain the same in phases of treatment except for the arrangement
all

of the contingencies. Essentially similar reductions in responsiveness are

obtained when individuals are provided rewards in advance without any
performance requirements (Ayllon & Azrin, 1965; Bandura & Perloff,

1967).
In an effective program of change reinforcement contingencies should
be arranged to provide positive guidance and support for new modes of
behavior, rather than to extract minimal compliance with situational de-
Essential Components of Reinforcement Practices 231

mands. Social change programs would become considerably more effi-

cacious, especially in modifying pervasively aberrant disorders, if initially
the environment were devised to provide noncontingent rewards at an
adequate but relatively low level, and preferred reinforcers were readily
available contingent upon the occurrence of desired response patterns.
Under these conditions, a rehabilitative program can be managed pri-
marily on a positive reinforcement basis without resort to those punitive
measures that are commonly employed in residential treatments.
Behavior is influenced not only by the contingencies operative in the
situation, but also by temporal aspects of reinforcement. Findings from
experimental studies ( Renner, 1964 ) demonstrate that behavioral changes
proceed most effectively when reinforcement is made immediately con-
tingent upon the behavior one wishes to foster; generally, the degree of
control exercised by reinforcement decreases with increasing delay.
Whenever a delay occurs between a particular response and its intended
consequences, other behaviors appear during the intervening period and
that response occurring most closely to the delayed outcome is imme-
diately reinforced. Since one typically has little control over the responses
that may arise during a specific temporal interval, delayed reinforcement
may actually strengthen forms of behavior that change agents have no
intention whatsoever of promoting.
It is widely assumed, on the basis of results from laboratory studies
of delayed reinforcement, that the effects of rewarding consequences will
be diminished, or even obviated, unless they are made instantly con-
tingent upon desired performances. This conclusion needs qualification
because it is based on evidence from experimentation either with infra-
human subjects or under conditions where the basis for reinforcement is
not explained. When the contingencies imposed upon an organism are not
clearly specified in advance, interposing a delay between the occurrence
of a response and its consequences increases the difficulty of identifying
the arbitrary relationship, particularly if a series of responses is performed
during the intervening period. As a result, inappropriate responses tend to
be adventitiously reinforced. Although relevant experimental evidence is
lacking, there is every reason to expect from informal observation that,
in the case of humans, symbolic activities can effectively mediate a de-
layed reinforcement contingency without any appreciable loss of be-
havioral control. Therefore, if contingencies are explicitly defined for an
individual he is able to link eventual consequences with particular per-
formances. Verbal mediation will, in all probability, eliminate irrelevant
responses even though a considerable time may elapse between perform-
ance of the requisite behavior and its consequences. A person who is paid
on a piecework basis, for example, is likely to maintain a high per-
232 POSITIVE CONTROL

formance level, although he receives his total payment at the end of the
month rather than in small amounts immediately after each unit of work
has been completed.
With young children, grossly deviant adults whose behavior is under
weak stimulus control, and individuals whose efforts extinguish rapidly
under delayed reinforcement contingencies, it may be necessary initially
to employ immediate concrete rewards; otherwise, such persons are likely
to display rapid decrements in responsiveness if reinforcing consequences
are postponed. On the other hand, persons who are responsive to instruc-
tional control are usually able to function adequately under delayed
reinforcement provided the contingencies arc explicitly defined and the
incentives are sufficiently attractive. Moreover, immediate satisfactions
derived from the activity itself and signs of progress often supplement,
and may eventually replace, ultimate extrinsic reinforcements in main-
taining behavior.

RESPONSE INDUCTION AND EVOCATION

Selection of powerful incentives and skillful contingency management

will, in itself, be of consequence unless methods are available for
little

producing the responses to be reinforced. If the behavior that a change

agent wishes to strengthen is already present and occurs with some fre-
quency, then contingent application of incentives can, from the outset,
increase and maintain the desired response patterns at a high level. Most
cases referred for treatment, however, present behavioral deficits, and
therefore complex modes of behavior must be organized in incremental
steps, each of which can be easily acquired. When the initial level of the
desired behavior is extremely low, if the criterion for reinforcement is

initially set too high, most, if not all, of the person's responses go unre-
warded, so that his efforts are gradually extinguished and his motivation
diminished. Consequently, in the beginning stages a low criterion for
reinforcement is generally adopted so that responses that are within the
individual's capabilities, but may have only slight resemblance to the
desired behavior, are reinforced. After gross approximations to the com-
plex pattern of behavior become more frequent, reinforcement is made
contingent upon a closer response variant. The criterion for reinforcement
is thus raised in small successive steps in the direction of more compli-
cated forms of behavior until eventually only the desired behavior is

reinforced.
The effective utilization of successive approximation procedures is

illustrated in a studyby King, Armitage, & Tilton (1960) designed to

increase interpersonal responsiveness in severely withdrawn schizo-
phrenics. Working on the assumption that motor responses could be more
easily elicited from these patients than verbal or social behavior, the
Essential Components of Reinforcement Practices 233

therapists first them the task of performing a simple motor response

set
which brought and material rewards. In successive phases, the
social
complexity of the task was increased, and verbal and interpersonal re-
sponses were elicited and rewarded. Also, in later phases, rewards were
presented only when the patients communicated verbally and cooperated
with the therapist and other patients in order to solve problems of some
complexity. Three other groups of patients, matched with the reinforce-
ment group for severity of disorder and length of hospitalization, concur-
rently participated in either traditional interview therapy, recreational
therapy, or received no treatment. The reinforcement approach proved
more efficacious than all other three techniques in
producing favorable
changes in social behavior assessed in terms of ward observation and
standardized interviews. After 15 weeks of therapy, patients treated by
the reinforcement method displayed more verbal behavior, less resistance
to therapy, more interest in occupational activities, and were better pre-
pared for transfer to a more advanced ward, than patients in the other
three groups. Bensberg and his colleagues (Bensberg, 1965; Bensberg,
Colwell, & Cassel, 1965) provide additional illustrations of how substan-
tial behavioral changes can be achieved even with profoundly retarded

children by rewarding small increments in performance until the more

complex skills are established.
It is widely assumed among proponents of operant conditioning that

the above procedure, which is variously labeled successive approximation,

shaping, or response differentiation, is ideally suited for developing new,
organized modes of response previously absent from the behavioral reper-
toire of the organism. Consequently, many therapists spend countless
hours patiently shaping behavior bit by bit when much of this tedious
process can be drastically reduced. As demonstrated in the preceding
chapter, complex patterns of behavior can be developed in humans most
rapidly through graduated modeling combined with positive reinforce-
ment for matching responses. Operant conditioning through successive
approximation may, however, be exclusively employed with considerable
success to reinstate previously acquired responses that have been ex-
tinguished and to strengthen performances weakly established as a result
of inadequate incentive conditions. Thus, by selecting powerful rein-
forcers and arranging the requisite contingencies, a therapist can induce
a mute catatonic who possesses a language repertoire to resume verbal
communication (Isaac, Thomas, & Goldiamond, 1960); schizophrenics
who have developed adequate work repertoires can be led to participate
again in vocational activities (Ayllon & Azrin, 1965); delinquents who
refuse to attend to school assignments can be motivated to improve their
academic performances (Cohen, 1968); and, in verbal conditioning ex-
periments, college students who command an abundant supply of personal
 .

234 POSITIVE CONTROL

pronouns can be subtly prompted to emit these verbal responses at a

relatively high rate ( Krasner, 1958 )
In addition to utilizing the method of successive approximation and
behavioral modeling for producing complex responses, one can rely upon
verbal prompts that specifically instruct individuals how and when to
perform the reinforceable behavior (Baer & Wolf, 1967). However, in
cases that are unresponsive to social forms of response guidance it may be
necessary to employ nonsocial stimuli that exercise strong control over
the behavior in question, even though the eventual aim is to have the

behavior occur in response to quite different stimulus conditions. In using

nonsocial cueing procedures one initially introduces discriminative stim-
uli that exert strong control over the desired behavior. After the responses
have been evoked and firmly established, the arbitrary stimulus supports
are "faded" or gradually withdrawn as control is transferred to stimuli
likely to function as the major elicitors under naturalistic conditions. Thus,
for example, in augmenting attending behavior in severely retarded chil-
dren who were totally unresponsive, Bensberg ( 1965 ) initially flashed
lights on a wall while he simultaneously instructed them to look, and
rewarded them for gazing at the light. In this way attending responses,
which are prerequisite for social learning, were increased and eventually
brought under verbal stimulus control. The use of tasks graduated in
difficulty also includes instances in which stimulus conditions are arranged
so that rewardable behavior can be readily elicited at each successive
step.
A final method for evoking desired behavior, which is sometimes
employed with persons who prove unresponsive to extensive stimulus
prompts, involves physical response guidance, wherein individuals are
assisted physically in making the correct responses. In teaching autistic
children grammatical relationships between objects (Lovaas, 1966), for
example, if a child fails to execute the response corresponding to the
verbal instruction, "Put the block inside the box," the therapist moves the
child's hand with the block
to the box and rewards the passively per-
formed action. On
subsequent trials the amount of manual guidance is
gradually reduced until the behavior is performed without assistance.

Ethical Implications of Reinforcement Practices

The deliberate use of positive reinforcement, particularly in the form

of tangible rewards, often gives rise to ethical objections and concerns
about harmful effects that may result from such practices. The attitude
most commonly expressed is that desirable behavior should be intrinsi-
cally satisfying. It is feared that, if persons are frequently rewarded, they
will be disinclined to behave appropriately unless continually paid to do
Ethical Implications of Reinforcement Practices 235

so, and when the customary rewards are discontinued they will cease
responding altogether. It is further assumed that rewarding practices not
only establish weak and unenduring behavior, but that contingent rein-
forcement is likely to interfere with the development of spontaneity,
creativity, intrinsic motivational systems, and other highly valued self-
determining personality characteristics. Some of the more intemperate
criticism considers the deliberate use of reinforcement to be deceptive,
manipulative, and an insult to the personal integrity of human beings.
For reasons presented above most persons whose own behavior is

strongly influenced by social recognition, praise, approval, special privi-

leges, and monetary incentives are quick to disclaim the use of rewarding
practices (Bandura & Walters, 1959; Sears, Maccoby, & Levin, 1957) and
to deny that their behavior has been externally regulated (Rogers, 1960).
It should also be noted that, paradoxically, one is apt to encounter less

concern over the use of aversive methods of control by threat, coercion,

and deprivation of privileges, methods which often do produce the nega-
tive behavioral outcomes inappropriately attributed to procedures relying
upon positive incentives.
The fact that behavior is strongly influenced by its consequences is
not a phenomenon created by behavioral scientists, any more than physi-
cists are responsible for the laws of gravity. The process of natural selec-
tion has favored organisms with adaptive feedback control systems in
which reinforcing consequences serve as a major regulator of behavior. In-
deed, if behavior did not change as a function of its outcomes, one's life
span would be drastically curtailed. Selection of the types of incentives by
which the behavior of others is to be established, guided, and maintained
is, of course, an ethical issue. However, the behavioral effects resulting
from applications of different psychological procedures are entirely an
empirical matter. Available evidence from laboratory and psychothera-
peutic studies suggests that reinforcement procedures, if thoughtfully and
skillfully implemented, can produce enduring changes in social behavior
and facilitate the acquisition of self -monitoring reinforcement systems.
If, on the other hand, operant techniques are crudely applied, and the

incentives are inappropriate to individuals' developmental levels, then the

change program may be insulting as well as ineffective.
In discussing the systematic utilization of positive incentives it is im-
portant to recognize that a change program represents a continuum of
psychological experiences in which the type, amount, and source of rein-
forcement regulating behavior are gradually modified. Hence, the incen-
tives employed initially to establish new patterns of social behavior and
to develop symbolic reinforcers may differ considerably from the stimulus
events that ultimately assume controlling and reinforcing functions.
Critics of reinforcement methods generally create the impression that
236 POSITIVE CONTROL

change agents work with mature and intrinsically motivated persons, but,
rather than appealing to higher symbolic motivations, insist on imposing
crass materialistic incentives upon them. There are undoubtedly some
practitioners who apply incentive procedures thoughtlessly and ineffec-
tively. Ordinarily, however, primary rewards are employed in initial
stages with persons who are not reinforceable with other types of events
and who would otherwise remain inaccessible to treatment. In the latter
cases it would be no more appropriate to rely upon developmentally
advanced incentives than to teach young children how to count by
commencing with the principles of advanced mathematics. After rein-
forcing functions have been imparted to social and symbolic stimulus
events, then more subtle and naturally occurring reinforcers are increas-
ingly employed. Without the initial concrete training, psychologically in-
capacitated persons arc relegated to a subhuman existence in custodial
institutions.

REINFORCEMENT SYSTEMS
AND DURARILITY OF BEHAVIORAL CHANGES
Demonstrations that behavior can be maintained at a satisfactory level
through reinforcements mediated by change agents are of limited signifi-
cance unless the response patterns endure long after the specially created
contingencies have been discontinued. There arc several ways in which
reinforcement systems can be devised and altered during the course of
treatment to ensure* that existing behavior docs not readily extinguish.

Cliange in Frequency or Magnitude of Reinforcement. After re-

sponse patterns have been firmly established through continuous rein-

forcement, the schedule is gradually thinned out, by providing rewards

on increasingly variable ratios and intervals so that the rewarding conse-
quences occur only periodically. As shown in the introductory chapter,
intermittently reinforced behavior is extemely resistant to extinction. The
durability of behavior under less favorable reinforcement conditions can
also be increased by gradually reducing the amount of reward after the
behavior has been sufficiently strengthened, or by increasing the amount
of work per reinforcement ( Staats & Butterfield, 1965).

Cliange in the Locus of Reinforcement. In most instances many

different interpersonal and material rewards are potentially available, but
they remain inaccessible to individuals who lack the social and vocational
skills to attain them. In a similar manner, because of behavioral deficits

or inhibitory tendencies persons may refrain from participating in activ-

ities would provide rich sources of enjoyment. If proficiency in the

that
necessary skills and social responses were established, they could be ade-
Ethical Implications of Reinforcement Practices 237

quately supported by reinforcements regularly available within the en-

vironment. The main purpose of specially arranged reinforcement is to
develop and to sustain behavioral repertoires to the point where the
individual makes successful contact with existing sources of positive
reinforcement. Once this is achieved, the arbitrary contingencies can be
completely withdrawn without weakening or reducing social behavior.
An excellent example of the successful shift of the locus of reinforce-
ment from adult change agents to peer group members is provided in the
treatment of an extremely withdrawn girl, referred to in Chapter 6 ( Allen,
Hart, Buell, Harris, & Wolf, 1964). After a brief period in which teachers'
interest and attention were made contingent upon interaction with peers,
the girl entered into a great deal of social play with other children. How-
ever, when adult reinforcement for peer interactions was temporarily
removed during the early phase of treatment, she reverted to her isolate
pattern of behavior; reinstatement of the therapeutic contingency restored
social play to its previous high level. As the girl derived increasing enjoy-

ment from play activities with peers, adult rewards for interaction with
children were progressively diminished to a normal amount of attention,
and the schedule for nonreinforcement of adult contacts gradually
relaxed. Eventually the treatment program was discontinued altogether
and no special contingencies were arranged thereafter. The increase in
social interaction with other children nevertheless endured, as revealed
in observations of behavior conducted at various times following the
termination of the program. Other case studies, specifically designed to
investigate the durability of behavioral change (Baer & Wolf, 1967), have
shown that if adults maintain their reinforcement support of social be-
havior in children until they achieve reciprocally rewarding interactions
with peers, the children's behavior comes increasingly under peer control
and is little affected by withdrawal of adult social reinforcement.
Results from the above studies, and others conducted in the same
manner, show that established patterns of behavior maintain their
strength after specially arranged consequences are discontinued provided
the behavior is brought under the influence of favorable contingencies
within the individual's social milieu. In cases, however, where the rein-
forcement practices in naturalistic situations are either deficient or grossly
deviant it is doubtful that lasting behavioral changes can be achieved,
unless the program is extended to encompass significant members of the
individual's social environment.

Change in the Form of Reinforcement. In previous discussions of

the treatment of autistic children it was shown how their behavior could
initially be modified only through the use of immediate primary rein-

forcers which were gradually reduced and eventually discontinued as

238 POSITIVE CONTROL

social stimuli acquired reinforcing functions.Another illustration of the

transformation of reinforcing supports for behavior during the course of
treatment is provided by Wahler (1968) who successfully modified ex-

treme oppositional behavior in children by altering their parents' rein-

forcement practices. An initial program in which parents ignored their
children's resistance to requests and rewarded cooperative behavior with
approval proved relatively ineffective.A subsequent reinforcement system
combining parental approval with tokens exchangeable for prized toys
produced dramatic and enduring increases in cooperativeness. Thereafter,
the tokens were gradually eliminated and cooperative behavior was stably
maintained by social approval alone.
In order to acquire proficiency in complex behaviors people must
engage in long hours of arduous work, give up attractive competing activ-
ities, and delay a host of immediate? gratifications that may be readily

available. Because the learning process involves some degree of self-denial

and other negative aspects, many people fail to develop minimal com-
petencies even though threats and coercive pressures are continuously
brought to bear. This prevalent problem can be rectified more satisfac-
torily and humanely by applying an arbitral)' reward contingency until
the behavior is developed to the stage at which it produces natural rein-
forcing consequences. Thus, for example, extrinsic rewards may be em-
ployed temporarily to teach children how to read, but after written
subject matter becomes sufficiently reinforcing in itself to sustain further
development of reading skills, the artificial contingency may be with-
drawn. Main forms of behavior, such as communicative facility and
manipulatory skills, which permit an individual to regulate his environ-
ment more effectively, persist with little external support because they
are functional in producing rewarding outcomes. New performances are
also partially sustained by the sensory feedback that they naturally
produce.
If rewards are recurrently and explicitly associated with cues that
signify competency or correctness, then symbolic stimulus events that
have informative value, and qualitative differences in performance,
acquire secondary reinforcing properties. At this higher developmental
level, cues designating the adequacy of one's performance may be as
effective a reinforcer as monetary incentives (Lewis, Wall, & Aronfreed,
1963; Miller & Estes, 1961 ) Once informative response feedback becomes
.

a source of personal satisfaction, maintenance of behavior is less depend-

ent upon extrinsic social or material incentives. It should be noted, how-
ever, that any reinforcement ensuing from confirmation of the correctness
of one's responses is probably mediated through a self -reinforcement
process rather than automatically generated. It is exceedingly unlikely,
for example, that correctness feedback on tasks that are personally deval-
Ethical Implications of Reinforcement Practices 239

ued or are regarded as elementary will have much, if any, reinforcing

value. Onthe other hand, confirmation of attainments that exceed per-
sonal standards of what constitutes a worthy performance will tend to
activate positive self -evaluations.
The highest level of autonomy is achieved when behavior generates
self-evaluative and other self-reinforcing consequences. In such instances,
a person sets himself explicit standards of achievement and creates either
self-rewarding or self -punishing consequences depending upon the quality
of his behavior relative to his self-imposed standards. Self -evaluative
reactions can not only maintain behavior under conditions of minimal
external support, but they may override the influence of social rewards for
behavior that conflicts with the person'sown norms of acceptable conduct.
The manner inwhich modeling and reinforcement procedures can be
used to establish intrinsic performance standards by which a person mon-
itors his own behavior has been previously discussed.
Established patterns of behavior are most likely to endure across a
bewildering variety of reinforcement contingencies if the significant rein-
forcing events are either intrinsically related to the behavior, or self-

administered. The conditions necessary complex behavioral

for developing
repertoires through reinforcement methods have been explicitly defined
and are usually faithfully implemented. Procedures for developing rein-
forcement functions to symbolic events need to be further refined and
applied systematically in programs of behavioral change. Judging by evi-
dence from laboratory studies, the types of self-regulatory mechanisms
that humanistically oriented commentators consider to be antithetical to
behavioral approaches are, in fact, most readily developed by methods
derived from social-learning theory.
It is also often erroneouslv assumed that change programs based upon

principles of reinforcement involve a simple mechanistic technology that

can be applied almost reflexively by anyone who possesses sufficient
perseverance. On the contrary, successful implementation of social-learn-
ing methods calls for considerable ingenuity and sensitive responsiveness
to psvchological changes in individuals throughout the period of treat-

ment. Among other requirements, one must devise efficacious incentive

systems, select appropriate reinforcement schedules, arrange essential
contingencies and gradually modify them as treatment progresses. One
must also createmethods for evoking desired responses with sufficient
frequency for them to be strongly established. And finally, it is necessary
to select and to train appropriate persons to implement the procedures in
naturalistic contexts. Whereas in conventional treatments people are fre-
quently left to their own devices in transferring whatever they may have
learned to their everyday life, social-learning approaches devote consider-
able attention to arranging conditions necessary to ensure optimal general-
240 POSITIVE CONTROL

ization and maintenance of newly established modes of behavior. In view

of the amount of inventiveness required, it is not surprising that, although
principles of reinforcement have been in existence for many decades, the
derivation of efficacious procedures has been disappointingly slow. For
similar reasons, the implementation of contingency systems by amateur or
less artful operant practitioners is often appallingly crude.

SPECIFICATION OF REINFORCEMENT CONTINGENCIES

In most experimental investigations of reinforcement processes, in-

structions that specify the desired behavior and its programmed conse-
quences are deliberately minimized or ignored altogether. Indeed, Skinner
(1963) has strongly cautioned against the use of instructional control
procedures in learning experiments on the grounds that they circumvent
and obscure the functional analysis of behavior. Laboratory experimenta-
tion designed to explore the extent to which behavioral phenomena can
be brought under the control of different types of reinforcement condi-
tions should, of course, avoid combining variables in ways such that their
individual contributions cannot be distinguished. However, rigid adher-
ence to isolated procedures is ill-advised in change programs which must
frequently combine a variety of methods in order to achieve optimal
results. Some devoted partisans of the operant approach, nevertheless,
often rely exclusively upon reinforcement practices to develop response
patterns that can be readily produced by the use of simple instructions,
behavioral demonstrations, or appropriate verbal modeling cues.
Considerable experimental evidence, which will be reviewed in a
later chapter, demonstrates that awareness of response-reinforcement con-
tingencies can markedly accelerate behavioral change. It is also abun-
dantly evident, as any parent will attest, that advice, instructions, requests,
and other verbal forms of guidance often have no enduring effects or go
unheeded. Systematic studies conducted with children (O'Leary, 1968)
and adolescents (Phillips, 1968) indeed show that prescribing behavioral
rules alone is relatively ineffective in changing their behavior. The power
of verbal influence is largely determined by the anticipated or accom-
panying response consequences. This is revealed in a study by Ayllon and
Azrin 1964 ) designed to evaluate the relative efficacy of instructions and
(

reinforcement, used singly and in combination, for reinstating acceptable

dining behavior in adult schizophrenics.
The treatment program attempted to get patients to pick up cutlery
at the serving center, which they rarely did; instead they ate their food
with their hands. Following the baseline period of observation during
which no special consequences were arranged, a reinforcement procedure
was introduced in which patients who picked up the necessary utensils
were immediately given, without any explanation, their choice of extra
Ethical Implications of Reinforcement Practices 241

100
Baseline Operant consequences Instructions
plus operant
consequences • • •

50 -

(
' *
v- J
t t t • I t I

20 40
Meals

Figure 4-1. Percentage of patients who picked up cutlery during the baseline
period, during the reinforcement phase in which appropriate responses were
promptly rewarded, and during a period when instructions were combined
with reinforcement. Ayllon & Azrin, 1964.

food or cigarettes. In a subsequent phase, instructions were added to the

reinforcement procedures, by having the attendants explain, "Please pick
up your knife, fork, and spoon, and you have a choice of extra milk,
coffee, cigarettes, or candy."
As shown in Figure 4-1, reinforcement alone produced no change
whatsoever in the patients' behavior. Here the reinforcement procedure
proved totally ineffective because the vast majority of patients never
exhibited any responses that could be reinforced, and the few who occa-
sionally picked up upon which they
cutlery never figured out the basis
were given extra treats. By contrast, when instructions were combined
with reinforcing consequences the patients showed a marked and sudden
increase in appropriate behavior, and a number of them maintained this
change after the contingent rewards were discontinued.
In order to assess the efficacy of instructions alone, a second group of
patients was simply asked to pick up the necessary eating utensils at each
mealtime. Instructions were found to be initially effective for about half
of the patients, but in the absence of any consequences for following or
ignoring the requests, verbal directives eventually lost most of their con-
trolling power ( Figure 4-2 ) During the next phase, the instructions were
.

continued but, in addition, patients gained immediate access to the food

counter whenever they picked up the cutlery and were sent to the end
of the serving line if they did not. Under the combined influence of

instructions and response consequences virtually every patient regularly

242 POSITIVE CONTROL

100

Baseline Instructions
r^- Instructions plus
operant consequences

50

^>— ••<

,4-
10 20 Mil 120 130 v
221 230
Meals

Figure 4-2. Percentage of patients who displayed the appropriate responses

during baseline, instruction, and combined reinforcement-instruction phases of
the study. Ayllon & Azrin, 1964.

exhibited the appropriate dining behavior. Comparison of the two sets

of data reveals that delayed access to rewards produced by nonrespon-
siveness was considerably more powerful in modifying the patients' be-
havior than extra treats for performance of appropriate responses.

Applications of Contingency Systems

The extensive growth of programs utilizing positive incentives in one

form or another precludes a complete review of the countless clinical,
remedial, and developmental applications of reinforcement principles.
Rather, some representative contributions that illustrate the procedures
and their efficacy in modifying a wide range of behaviors will be dis-
cussed. Since investigations of reinforcement variables alone are most
Applications of Contingency Systems 243

often conducted by researchers working within the Skinnerian conceptual

framework, the degree of success of these methods is rarely evaluated
through the use of control groups to measure the contribution of uncon-
trolled variables, or comparisons between groups involving different ex-
perimental operations. Instead, the intrasubject replication design is gen-
erally employed for isolating the variables governing change. In this
method of research a given pattern of behavior is repeatedly induced
and eliminated in the same subject through successive reversal of treat-
ment conditions (Sidman, 1960). Intrasubject replication is the most
convincing means of demonstrating the functional relationship between
behavioral phenomena and their controlling conditions. However, there
are certain limitations and evaluative problems in the use of this method-
ology.
Intrasubject replication is well-suited for investigating performance

control processes but it cannot be employed in studying learning phe-

nomena which certain experiences produce a more or less irreversible
in
change behavior of an organism. For example, after persons have
in the
acquired communicative speech, reading skills, and various social and
psychomotor competencies, one cannot erase these response capabilities
and thus restore the original behavioral deficits through nonreinforcement
operations or any other psychological procedure.
A number of interpretive complications arise in the use of this meth-
odology even in the study of performance changes. There are no difficul-
ties in evaluating findings when large successive changes in behavior

occur rapidly and consistently across different subjects. In many instances,

however, not only are the accompanying behavioral changes less dramatic,
but some individuals remain essentially unaffected by repeated exposure
to the same treatment conditions. Replicative failures are usually attrib-
uted to inadequacies in the reinforcers employed, whereas successes are
assumed to result from the manipulated reinforcement variables. It is

entirely possible, however, that in successful cases the behavioral changes

are largely due unobserved variables that happen to
to the influence of
co-vary with the reversal of treatment conditions. The evaluative problem
is further complicated by the fact that, in cases where successful behav-
ioral control is achieved, no statistical criteria have been developed to
evaluate whether the magnitude of change produced by a given treatment
exceeds the variability resulting from uncontrolled factors operating
while the treatment condition is not in effect. Many readers have un-
doubtedly experienced frustration in attempting to evaluate conclusions
drawn by investigators on the basis of visual inspection of frequency
curves that not only involve considerable variability during baseline con-
ditions, but differ widely between subjects and are somewhat irregular
across successive replications.
244 POSITIVE CONTROL

The intrasubject replication design also precludes accurate assessment

of the relative efficacy of different treatment variables. Changes that are
sequentially produced in a given individual by the application of diverse
methods cannot be directly compared for several reasons. The degree of
influence required to create an initial change may differ from that needed
to effect additional improvements in the same behavior. In developing
linguistic functions in for example, Lovaas (1966)
autistic children,
found that children were slow to acquire the first few words but subse-
quent word learning proceeded at a relatively rapid rate. A similar
increase in the rate of response acquisition as treatment progressed was
noted by Staats, Minke, Goodwin, & Landeen ( 1967).
In many instances the original baseline is not recoverable; conse-
quently, the effects that different variables have on behavior must be
compared against dissimilar performance levels. Even if the original
response baseline can be recovered, it may be much easier to reinstate a
given behavior than to create it initially. Sampen, and Sloane
Zeilberger,
(1968) have, in fact, shown that behavior can be modified more quickly
the second time, a finding that is evident in most graphs based on experi-
ments in which the same controlling variables are successively applied
and withdrawn. Not only does prior performance of responses increase
the speed with which they can be reinstated after being extinguished, but
during the initial experiences learning sets are acquired which can result
in marked improvement in performance of quite different responses
(Kimble, 1961; Harlow, 1949).
Finally, the reinforcement value of a given event can be markedly
altered through contrast with previous or contemporary conditions of rein-
forcement (Buchwald, I960; Dunham, 1968). Therefore, sequential
changes associated with different types of reinforcement operations reflect
relational influences as well as the specific properties of reinforcement
procedures. Hence, the implicit assumptions that repetitive control does
not alter the modifiability of the behavior in question, that behavior at
different levels is equally modifiable, and that reinforcement operations
are unaffected by contrast in incentive conditions are all probably unten-
able. The relative potency of different controlling variables can, therefore,
be best assessed through experimental designs involving matched groups.
Some of the published reports involving reinforcement techniques are
based upon individual cases in which, for practical or ethical reasons, suc-
cessive reversals of contingencies have not been attempted. Although
these types of studies provide less convincing evidence regarding the
variables responsible for observed changes, the results nevertheless have
important suggestive value, particularly when changes are effected in
persons who have proved totally unresponsive to other methods of change.
 —
Applications of Contingency Systems 245

MODIFICATION OF DEVIANT SOCIAL BEHAVIOR

been widely employed for the modifica-

Differential reinforcement has
tion of deviant behavior in both adults and children. In these treatment
programs rewarding consequences for desired behavior are typically
combined with extinction, modeling, and in some cases with punishment
procedures. However, the studies reported in the present section are pri-
marily concerned with the control of behavior through its positive conse-
quences.
Ayllon and his associates have conducted an extensive program of
research in the development of reinforcement procedures for the modifi-
cation of gross behavior disorders in adult psychotics. In the early studies
(Ayllon & Michael, 1959) nurses and hospital attendants were trained to
record the frequency with which patients exhibited specific patterns of
behavior, and to arrange in naturalistic situations the reinforcement con-
tingencies —usually in the form of social attention and food rewards
necessary to bring about desired changes. By withholding attention for
bizarre forms of behavior while selectively reinforcing rational response
markedly reducing or completely eliminat-
patterns, nurses succeeded in
& Haughton, 1964), chronic anorexia
ing psychotic verbalizations (Ayllon
(Ayllon, Haughton, & Osmond, 1964), and a host of other deviant be-
haviors of long standing considered indicative of psychotic pathology
(Ayllon, 1963; Ayllon & Michael, 1959). In later studies (Ayllon & Azrin,
1965, 1968 ) the scope of operant conditioning methods was broadened by
the use of a wider range of positive incentives, which were applied on a
group basis for establishing social and vocational competencies in chronic
psychiatric patients. A detailed account of the latter program will be
presented later.

Numerous have been reported in which reinforcement prin-

projects
ciples are systematically employed to alter deviant behavior in children.
These studies provide impressive testimony that children's behavior can
be powerfully controlled by the social consequences provided by adults.
Each case involves intrasubject replication in which the incidence of
particular response patterns is objectively recorded under naturally oc-
curring contingencies and during subsequent periods when therapeutic
contingencies are alternately applied and withdrawn. The findings demon-
strate that persistent problem behaviors can be successfully eliminated,
reinstated, and extinguished a second time by altering the amount of
adult interest and attention produced by the deviant behavior. Among the
disorders successfully treated through such selective reinforcement are
extreme withdrawal (Allen, et al., 1964; Brawley, Harris, Allen, Fleming.
& Peterson, 1969; Johnston, Kelley, Buell, Harris & Wolf, 1963), regressive
crawling (Harris, Johnston, Kelley, & Wolf, 1964), extreme passivity
246 POSITIVE CONTROL

(Johnston, Kelley, Harris, & Wolf, 1966), hyperactivity and aggressive

behavior (Allen, Henke, Harris, Baer, & Reynolds, 1967; Hall, Lund &
Jackson 1968), and depressive feelings and marked overdependency
(Wahler&Pollio, 1968).
A noteworthy feature common to the procedures discussed above,
apart from their demonstrated efficacy, is the fact that the change pro-
grams are conducted within natural settings by teachers and parents
utilizing reinforcing events that form a natural part of spontaneous inter-
personal relationships. It is possible, of course, to modify behavior under
contrived conditions with incentives that are highly attractive but are
rarely employed, for practical or other reasons, in everyday situations.
Although results of such studies may have some value in demonstrating
that a particular form of behavior can be controlled by artificially ar-
ranged consequences, such treatment procedures eventually have to be
supplanted for several reasons: First, behavioral changes established
under artificial conditions must be supplemented with generalization
training, with respect to both the types of tasks and incentives employed,
in order to ensure adequate transfer effects. Even if contrived procedures
were equally effective, they frequently necessitate specialized equipment
and personnel, which limit their applicability. Furthermore, although
relevant data are rarely obtained, one must also take into account pos-
sible self-evaluative consequences that arbitrary interventions have upon
their recipients, as well as social effects upon the attitudes and behavior
of others who have opportunities to observe the treatment.
Countless studies employing reinforcement techniques have been pub-
lished in recent years, but they lack the replicative control feature. Never-
theless, they report favorable outcomes with such diverse clinical problems
as autistic behavior (Lovaas, 1968) severe anorexia (Bachrach, Erwin, &
Mohr, 1965; Leitenberg, Agras, & Thomson, 1968), school phobias (Pat-
terson, 1965), socially disruptive behavior (Zimmerman & Zimmerman,
1962), mutism (Sherman, 1965; Straughan, 1968), psychogenic seizures
( Gardner, 1967 ) self-mutilative activities ( Allen & Harris, 1966 ) antiso-
, ,

cial behavior (Colman & Baker, 1968), and innumerable other types of

deviant behavior, some of which are discussed in sections that follow.

Although one finds a paucity of experiments in which the relative efficacy
of diverse methods of therapy is systematically evaluated, results of sev-
eral controlled investigations with schizophrenic patients ( King, Armitage,
& Tilton, 1960; Peters & Jenkins, 1954; Schaefer & Martin, 1966) and
antisocial character disorders (Colman & Baker, 1968), disclose that treat-
ment based upon reinforcement principles produces greater change in
interpersonal behavior than do programs following conventional lines.
In a significant extension of reinforcement procedures, Patterson and
his colleagues ( Patterson, Ray, & Shaw, 1968 ) have achieved some success
Applications of Contingency Systems 247

in modifying deviant behavior by altering the reinforcement patterns of

familial systems and peer groups. According to the authors' etiological
formulation, deviant behavior typically arises under conditions of low
levels of positive reinforcement and nonreciprocal social interactions
among family members. The children are, therefore, forced to resort to
extreme forms of behavior to elicit reinforcing reactions from others. As a
further consequence of nonreciprocity, children are likely to become
increasingly controlled by the peer group and less responsive to adults.
This change, in turn, leads adults to resort to aversive forms of control,
which further reduces their influence as reinforcing agents.
The treatment approach, which involves a four-step program, takes
place in the home. After two weeks of baseline observation of familial
interactions, parents are provided with a specially prepared booklet de-
signed to familiarize them with general principles of reinforcement, ex-
tinction, aversive control, inadvertent reinforcement of deviant behavior,
and with procedures for recording interpersonal behavior. In the second
phase, parents are asked to list the child behaviors they wish to modify.
They are then assigned a special hour during each day to record the
incidence of these behaviors, the various consequences they engender,
and the family members who provide the consequences. After they have
learned to observe interpersonal contingencies accurately, parents are
helped, through ample demonstration and supervised practice, to alter
the reinforcement contingencies that they provide for both deviant and
desired response patterns. The family problems are thus modified one at
a time.
When necessary, new reinforcement practices are also introduced in
the classroom setting and in the peer group. Control over deviant behavior
in extra-familial situationsis typically achieved by a peer contingency

procedure in which both the child and his peers initially earn desired
rewards for his good behavior. The material reinforcers are then gradually
withdrawn is entirely maintained by
until eventually the child's behavior
social reinforcement from teachers and peers. Following termination of
the formal treatment program, telephone contact is maintained on a
diminishing schedule, and home observations are conducted periodically
over a six-month follow-up period.
Results based on six families that have participated in the above pro-
gram show that parents reduced the frequency with which they positively
reinforced deviant behavior from an average rate of 35 percent during
the baseline period to 10 percent at the end of the intervention program.
Modification of familial contingencies not only decreased the family's
output of deviant behavior, but it increased the amount of positive social
reinforcement in the entire social system, and it produced a more recipro-
cal quality to the interactions between the various family members.
248 POSITIVE CONTROL

Moreover, these favorable changes tend to be effectively maintained over

time. Although this approach appears to hold promise, the marked vari-
ability in baseline rates of deviant behavior before the new reinforcement
practices were inaugurated, and the differential responsiveness of families
to the program, indicate that further refinements and assessments are
needed.

DEVELOPMENT OF SOCIAL AND SELF-MANAGEMENT SKILLS

IN SEVERELY RETARDED CHILDREN

Reinforcement techniques have also proved to be of value for estab-

lishing basic social and self-care skills in profoundly retarded children
who, because of their primitive level of behavior, are usually considered
uneducable and are hence relegated to institutional back wards. Such
children have been toilet-trained ( Giles & Wolf, 1966; Hundziak, Mowrer,
& Watson, 1965), taught to dress and undress themselves, to feed them-
selves with utensils, to manage their personal grooming, and to respond
to verbal directions, which is of considerable aid in the social training
process (Bensberg, Colwell, & Cassel, 1965; Girardeau & Spradlin, 1964;
Minge & Ball, 1967; Roos, 1965). In addition, the efficacy of these methods
for developing communication skills, interpersonal response patterns, and
other complex forms of behavior in severe retardates is being explored.
Bensberg notes parenthetically that such programs have not only bene-
fited retarded children, but the functions of attendants, who implement
the training procedures, have changed from dismal custodial care to
active participation in assisting children to gain competencies within the
limits of their ability.

SYMBOLIC LEARNING
In recent years, reinforcement procedures have been used effectively
in conjunction with programmed instructional materials to establish com-
plex symbolic forms of behavior. Staats' (1965) program of research on
the acquisition of reading behavior furnishes one such example.
Reading involves complicated processes which children must learn
in
both to discriminate among symbols and to associate
intricate verbal
appropriate verbal responses to them. Complexity arises primarily be-
cause the same elements in a compound word stimulus must elicit differ-
ent responses depending upon the context in which they occur. Since
words contain many common stimulus properties (e.g., counsel, council)
and in most cases, word differentiation relies upon subtle cues, the devel-
opment of reading responses constitutes a demanding associative form-
discrimination task. In addition to difficulties created by high stimulus
similarity, the instructional material itself typically serves as a weak
source of positive reinforcement, particularly for young children. An
Applications of Contingency Systems 249

effective reading program therefore requires extensive training utilizing

material that is words with their
carefully sequenced, repeated pairing of
pictorial or verbal associates, immediate and continuous feedback of the
correctness of the responses, and an incentive system capable of sustain-
ing children's attention and active responsiveness over long periods. These
essential conditions are incorporated in the semi-automated method de-
vised by Staats to study reading acquisition.
In the initial pre-training phase, children are reinforced for imitating
single vowels or words spoken by the experimenter. After verbal modeling
has been well established, a word is shown with several drawings of
simple objects, one of which corresponds to the printed stimulus, and the
experimenter pronounces the word. When children have learned through
discriminative consequences to match words with their pictorial represen-
tations without verbal prompts, the actual reading training is begun. The
reading task is presented to children primarily in the form of a matching-
to-sample discrimination procedure. In each learning sequence a sample
word is shown in the top aperture of a panel, and is matched by one of

three words presented simultaneously in a bottom row of windows. The

experimenter names the stimulus word and asks the children to repeat the
word and comparable item from among the alternatives. If
to select the
the child reads the word
correctly, he is immediately reinforced with
tokens which may be exchanged for preselected toys or other desired
items. Whenever the child's response is incorrect, the entire sequence is
repeated. After children have learned to read words individually, they
are presented in sentences and in short paragraphs composed of pre-
viously learned material.
In a discrimination learning task the error rate can be effectively con-
trolled by the use and stimulus alternatives that are
of cueing procedures
easily discriminable from the correct choice. By gradually fading out the
stimulus supports for the appropriate behavior and employing progres-
sively finer contrasts between the stimulus alternatives (Rocha e Silva &
Ferster, 1966 ) children can eventually learn to respond to subtle features
,

of words. Most other symbolic activities, such as abstraction and concept

formation, similarly depend upon the establishment of subtle discrimina-
tions. This can be best achieved by working from relatively gross contrasts
between stimuli.
to successively smaller differences
Although comparisons with other instructional methods have not been
made because of the exploratory nature of this research, nevertheless
Staats has accumulated considerable data Staats, Finley, Minke, & Wolf,
(

1964; Staats, Minke, Finley, Wolf, & Brooks, 1964) regarding the potential
value of this approach for establishing reading behavior in preschool
children. Further, the influence of schedules of reinforcement on rate of
reading acquisition has been studied systematically in several cases with
250 POSITIVE CONTROL

intrasubject replications.The results, though somewhat variable, demon-

strate that under conditions of reinforcement children maintain strong
interest in the reading task, and continue to acquire new reading re-
sponses over an extended series of sessions even though, for experimental
reasons, the social interaction between tutor and child is severely cur-
tailed. In educational or remedial applications one would, of course,
question the wisdom of rigid adherence to such highly impersonal prac-
tices and exclusive reliance upon material reinforcers. As might be ex-
pected from previous research, intermittent reinforcement generally pro-
duced higher reading response rates than continuous reinforcement.
Moreover, during periods when reinforcement was temporarily discon-
tinued reading behavior rapidly deteriorated.
These procedures were initially extended by Staats to the study of
reading acquisition in retarded children and remedial reading in a delin-
quent adolescent (Staats & Buttei field, 1965). The latter case involved a
14-year-old boy who, in addition to accumulating a long and varied
history of aggressive destructive behavior, had never received a single
passing grade in any school subject; despite eight and a half years of
classroom instruction, his reading achievement was only at the second
grade level. Because of his uncharitable attitudes and behavior toward
school personnel, and occasional dismantling of school property, he was
considered to be uneducable, incorrigible, and mentally retarded.
methods employed in the laboratory studies, the boy
Paralleling the
learned first words presented singly, then combined in sentences,
to read
and finally organized into short stories. The vocabulary items, which were
selected from standard reading material arranged according to difficulty
level, were presented individually on index cards and the boy was asked
to pronounce them. Following each correct reading response the boy
received token rewards which he saved for various articles and money
allotments. After the boy had mastered the vocabulary items he earned
additional tokens for accurate oral reading of paragraphs, silent reading
of entire stories, and for correct answers to questions assessing compre-
hension of story content.
During the training program the boy covered a sizable range of read-
ing material with undiminished interest. He not only acquired new read-
ing responses at a relatively high rate, but he showed increasing ability
to read new words on first presentation, and retained much of what he
had learned. This notable progress was also reflected in reading achieve-
ment test scores obtained prior to, during, and after completion of
approximately 40 hours of reading training distributed over a four and a
half month period (Figure 4-3). That the brief treatment program had
produced generalized educational and behavioral effects is indicated by
the fact that the boy received undistinguished but passing grades in all
Applications of Contingency Systems 251

6 i- Experimental training

Baseline period
[regular school training)

E
5 2

<
? 1

3 4 5 6
Number of School Years

Figure 4-3. Reading test scores achieved after 8/2 years of regular classroom
instructions and after 4J2 months during which reading responses were positively
reinforced. Staats & Butterfield, 1965.

subjects for the first time in his turbulent academic career, and he mark-
edly decreased and eventually ceased his aggressively defiant behavior.
The entire program, which was administered by a probation officer, in-
volved a total expenditure of $20.31 for token exchange items.
Essentially the same procedures were applied with some degree of
success by adult volunteers and high school seniors in teaching reading
skills to retarded, emotionally disturbed, and culturally deprived children

(Staats et al., 1967). The children acquired reading responses at an ac-

celerating rate even though the instructional material was increasing in
difficulty and the amount of extrinsic reinforcement was progressively
reduced. However, several methodological problems associated with the
criterion tasks and the fact that control subjects received special training
with similar materials precluded a stringent test of whether a program
involving tight contingencies and material reinforcers yields better out-
comes than the standard educational practices.

Self-instructional Systems. The acquisition of basic cognitive skills

and knowledge, prerequisite for higher symbolic activities, requires re-
peated presentation of substantial amounts of abstract content and prin-
ciples, as well as intricate discrimination training. Since many of these
functions can be performed more efficiently by programmed self-instruc-
tional techniques than by conventional training methods, increasing use
is made of semi-automated instructional systems for symbolic learning.
In evaluating the role of these approaches in the educational process, it
252 POSITIVE CONTROL

should be emphasized that the critical issue is not reliance upon mechan-
ical versus social presentation of stimulus material, but rather which
tutorial systems, applied either singly or in combination, best approximate
optimal conditions for learning. Although social commentators often
attribute legions of virtues to conventional modes of instruction and hosts
of pernicious effects to programmed methods, many instructors do not,
in fact, provide the type of content organization that would ensure rapid
learning and effective retention; many present material in ways that
extinguish students' intellectual interests; and often many inadvertently
establish strong avoidance tendencies toward the subject matter being
taught. As a consequence, many students, particularly those who are
weakly motivated or less well endowed intellectually, display marked
intellectual deficits despite numerous years expended fruitlessly in school
attendance.
Provided that they are skillfully designed and adaptive to individual
requirements, self-instructional systems possess several features that can
facilitate the learning process. First, they present material to the student
in a well-organizedgraduated order. The utilization of logically ordered
sequences prevents students from becoming contused or lost through
omission of essential intermediate steps in exposition; this removes one
major aversive aspect of conventional instruction. Second, they provide
the student with immediate feedback about the accuracy of his responses,
helping him to continuously monitor his comprehension of the subject
matter. Third, since a student can proceed to new information only by
making correct responses to preceding items, the required active partici-
pation of the student forces careful observation of stimulus material. Thus,
if a student should lapse into classroom reverie, the instructional content,
like Old Man River, keeps rolling along, whereas in programmed instruc-
tion the patient tutor remains idle as long as the student is disengaged.
Fourth, the self -pacing feature of programmed teaching methods makes
individualized instruction possible for persons who differ in ability and
mastery of the material. In computerized systems, in which new instruc-
tional content is selected at each step on the basis of the learner's past
performances, students can generate their own optimal learning se-
quences. Finally, because errors are drastically reduced by gradual pro-
gression in content difficulty, learning from self-instructional programs is

minimally threatening. The self-pacing and nonthreatening characteris-

tics are particularly important in clinical and remedial applications to
persons who have undergone extensive failure experiences and who differ
widely in the content areas in which they show deficits.
In an effort to assuage fears that machines may displace warm-
blooded pedagogues, it has been customary to relegate the teaching of
hackneyed, factual material to programmed instructional devices, reserv-
Applications of Contingency Systems 253

ing creative, problem-solving, and conceptual skills to teachers who

would be liberated from mundane functions. As Resnick (1963) cogently
points out, the difficulty in teaching complex intellectual skills results
primarily not from inherent limitations in programmed instruction pro-
cedures but from the fact that cognitive activities are usually described in
very general terms or remain essentially undefined. For this reason, even
talented teachers are often at a loss in deciding what types of learning
experiences might be most appropriate to the development of abstract
abilities. After component behaviors of more complex skills have been

adequately specified there is no reason why they cannot be taught by

carefully prepared learning sequences. Indeed, there is some evidence
to suggest that self-instructional methods can be utilized effectively for
teaching relatively complex intellectual skills such as language functions,
mathematical reasoning, decision making, abstract thinking, problem-
solving strategies, a wide range of vocational and avocational skills, and
the basic concepts and principles of diverse fields of study. Moreover,
numerous comparative investigations (Silberman, 1962; Stolurow, 1963)
have generally shown programmed instruction to be at least as effective
as, and sometimes better than, conventional teaching methods while also

substantially reducing student time, cost, and professional personnel.

Since the development of favorable attitudes toward subject matters is as
important a part of the learning process as the acquisition of specific
intellectual skills ( Mager, 1968 ) the assessment of tutorial systems should
,

measure both attitudes and achievements. Unfortunately, the attitudinal

effects of programmed instruction, or conventional teaching for that
matter, are rarely taken into account.
With further advances in auto-instruction, both technologically (in
the areas of picture projecting systems, vocal programming, and the use
of computers to permit students more complete control over learning
sequences), and in knowledge of acquisition processes,
it should be possi-

ble to arrange optimal learning conditions more readily and to extend

programmed instruction to even more complex forms of symbolic behav-
ior. Indeed, in an elaborate study of computer-assisted instruction con-

ducted by Atkinson & Suppes (Atkinson, 1968) first grade students

receive their entire reading and mathematics instruction through televi-
sion learning units controlled by a central process computer. The com-
puter presents the material, monitors the students' performances, and
continuously adjusts the learning sequence to the capabilities and indi-
vidual rate of achievement of each pupil. Instruction provided by this
system produces greater proficiency than does the regular classroom
method of teaching. If costs can be reduced, computer-based systems of
education may eventually replace conventional techniques of instruction
in many areas of study. Such instructional systems could, in fact, furnish
254 POSITIVE CONTROL

varied forms of educational material at different levels under optimal

learning conditions to homes, schools, commercial facilities, and any
other settings equipped with television learning units.
hampered to some extent by the iden-
Progress in this area has been
tification of programmed learning with audio-visual aids. As a conse-
quence, research activities have been unduly preoccupied with compari-
sons of conventional instructions and minor variations of program
characteristics, rather than undertaking systematic investigations of acqui-
sition processes associated with self -instructional systems. The latter type
of research would not only increase the effectiveness of programmed
instruction, but would also elucidate fundamental learning processes
involved in complex skills. For example, the teaching of reading through
an automated matching-to-sample method, applied to young children
over an extended period of time, should provide basic information about
discriminative processes to supplement knowledge derived from brief
laboratory studies employing identical procedures with less meaningful
content.
Although ample attention is currently being devoted to hardware and
program variables, the incentive requirements for learning have been
essentially ignored. This oversight results in large part from widespread
assumptions that the programmed format is effective in holding attention
and that informative feedback about the accuracy of one's responses
functions as an automatic positive reinforcer in sustaining responsiveness.
This may be true for persons who have learned to value intellectual
achievements, or who expect to derive some immediate benefit from
increasing their competency in specific areas of functioning. However,
for highly motivated bright students, small step, linear programming in-

volving strongly prompted responses, which ensures successful learning

may provide such trivial increments in per-
in less talented individuals,
formance that the learning task becomes neither challenging nor per-
sonally rewarding. While these negative effects can be avoided to some
extent by adjusting the size of informational units to ability level, the
incentive problem grows far more serious in the case of persons for whom
signs of intellectual achievement must be established as effective rewards.
In these instances an extrinsic incentive system must be added to self-
instructional procedures if students' interest and responsiveness are to be
durably maintained.

SELF-MANAGED BEHAVIORAL CHANGE

Most of the programs that have been discussed so far achieve behav-
ioral changes primarily through external management of reinforcement
contingencies. Recent years have witnessed a growing interest in self-

control processes in which individuals regulate their own behavior by

 .

Applications of Contingency Systems 255

arranging appropriate contingencies for themselves. These self-directed

endeavors comprise a variety of strategies, some of which were originally
proposed by Ferster, Nurnberger & Levitt ( 1962 )
Efforts at self-influence usually prove unsuccessful because they in-
volve vague self -instructions that have no immediate behavioral implica-
tions. Moreover, unless self-directives are supported by reinforcement
operations, either external or self-administered, they are unlikely to exert
much control over behavior. The
selection of well-defined objectives, both
intermediate and ultimate, an essential aspect of any self-directed pro-
is

gram of change. The goals that individuals choose for themselves must be
specified in sufficiently detailed behavioral terms to provide adequate
guidance for the actions that must be taken daily to attain desired out-
comes.
To further increase goal commitment participants are asked to make
contractual agreements to practice self-controlling behaviors in their daily
activities. Thus, for example, in modifying smoking behavior (Tooley &

Pratt, 1967) and obesity (Ferster, Nurnberger, & Levitt, 1962), clients
agree to restrict increasingly, in graduated steps, the times and places in
which they will engage in the undesired behavior. Under conditions
where individuals voluntarily commit themselves to given courses of
action, subsequent tendencies to deviate are likely to be counteracted by
negative self -evaluations. Through this mechanism, and anticipated social
reactions of others, contractual commitments reinforce adherence to
corrective practices.
Satisfactions derived from evident changes help to sustain successful
endeavors. Individuals can, therefore, utilize objective records of behav-
ioral changes as an additional source of reinforcement for their self-
controlling behavior. In studies of self-directive processes by Kolb, Winter,
& Berlew (1968) students used miniature counters to keep an accurate
record of the frequency with which they displayed desired and undesired
behavior throughout each day. These data were plotted graphically to
provide a clear picture of the behavioral improvements students were
accomplishing by their own efforts. Daily feedback of this type not only
serves a reinforcing function but it also safeguards against irregular and
halfhearted implementation of self-prescribed procedures. In a study
designed to improve self-instruction behavior, Fox ( 1966 ) found that
students who recorded their daily productivity continued to work on
assignments until they exceeded their preceding performances, thus
ensuring continued improvement.
Since behavior is extensively under external stimulus control, persons
can regulate the frequency with which they engage in certain activities
by altering stimulus conditions under which the behavior customarily
occurs. Overeating, for example, will arise more often when appetizing
256 POSITIVE CONTROL

foods are prominently displayed in frequented places in the household

than if they are stored out of sight and made less accessible. Indeed, it

has been shown that, compared to individuals of normal weight, obese

persons are less responsive to internal hunger states (Stunkard & Koch,
1964), whereas their eating behavior is excessively dependent upon ex-
ternal food-related stimuli ( Schachter, 1967 ) . Some degree of self-control
can thus be achieved by judicious environmental arrangements that
reduce the external determinants of the behavior. Conversely, the inci-
dence of desired activities can be increased by introducing appropriate
stimuli for them.
Behavior that provides immediate positive reinforcement, such as eat-
ing, smoking, and drinking, tends to be performed in diverse situations
and at varied times. Therefore, another important aspect of self-managed
change involves progressive narrowing of stimulus control over behavior.
Continuing with the obesity illustration, individuals are encouraged grad-
ually to delimit the circumstances under which they eat until eventually
their eating behavior is brought under the control of a specific set of
stimulus conditions. This outcome is achieved by having clients commit
themselves to a graduated program in which they refrain from eating in
non-dining settings, between regular mealtimes, and while engaging in
other activities such as watching television, reading, or listening to the
radio. An essentially similar procedure is employed to increase effortful
behavior that is under weak situational control. Thus in getting students
to study productively a specific desk and time are designated for study
and all potentially distracting stimuli are removed. To preserve the desk's
stimulus value for study behavior, whenever students find their thoughts
wandering or their interests lagging they are instructed to leave the situ-
ation and turn to other activities. In this way progressively longer periods
of concentrated study are achieved (Fox, 1966; Goldiamond, 1965).
The foregoing procedures are primarily aimed at instituting self-con-
trolling behavior, but unless positive consequences are also arranged the
well-intentioned practices are likely to be short-lived. Self-controlling
behavior is difficult to sustain because it is associated, at least initially,

with relatively unfavorable conditions of reinforcement. Prepotent activi-

ties typically provide immediate positive reinforcement for the individual,

whereas their aversive consequences are not experienced for some time.
Conversely, self-control measures usually produce immediate unpleasant
effects while the personal benefits are considerably delayed. Self-reinforc-
ing operations are, therefore, employed to provide immediate support for
self-controlling behavior until the benefits that eventually accrue take
over the reinforcing function.
The contingencies that individuals arrange for themselves may involve
Applications of Contingency Systems 257

different types of reinforcing events. They are asked to select a variety of

activities that make them contingent on the
they find rewarding and to
performance of desired behavior. Viewing television, drinking coffee,
reading magazines, recreational breaks, monetary rewards, or food treats
may, for example, be made conditional upon a certain amount of study
behavior. As was noted in the introductory chapter, self-managed rein-
forcement can serve an important behavior maintenance function (Ban-
dura & Perloff 1967 ) In the case of powerful appetitive behaviors, posi-
, .

tive competing activities may be engaged in, to aid self-control, at times

when the instigation to perform undesired behavior is high. The disposi-
tion to perform prepotent behavior can also be reduced by generating
immediate aversive consequences either symbolically (Cautela, 1966;
Homme, 1965), or through the use of portable stimulation devices
(McGuire & Vallance, 1964). The manner in which self- generated aver-
sive effects have been utilized to gain control over sexual perversions,
chronic alcoholism, and other types of addictive behavior receives de-
tailed consideration in Chapter 8.
As a final feature of self-directed change programs, increases in de-
sired behavior and reductions in undesired behavior are attempted gradu-
ually. In this way the incidence of experienced discomforts is kept low,
and steady progress toward the eventual goal can be achieved.
The efficacy of self-directed approaches to behavioral change is best
illustrated in the modification of obesity, which has proved refractory to
a variety of medical and psychological procedures. Stunkard (1958)
succinctly describes the usual outcomes associated with traditional treat-
ments as follows: "Most obese persons will not stay in treatment for
obesity. Of those who stay in treatment, most will not lose weight and of
those who lose weight, most will regain it [p. 79]." Unlike approaches that
focus on caloric intake or inferential inner causes of overeating, self-
control programs attempt to accomplish an enduring change in the pattern
of eating behavior by regulating stimulus conditions and self- generated
consequences for the behavior. Stuart (1967) reports uniformly marked
and lasting weight reductions in eight obese women who followed a
program combining the various elements discussed above (Figure 4-4).
In a controlled study Harris (1969) found that men and women who
were trained to use similar self-control procedures lost weight and main-
tained the loss, whereas a matched control group given calorie charts and
urged to reduce remained obese. Both studies further reveal that this
approach is accompanied by low dropout rates and no unpleasant emo-
tional effects. The encouraging preliminary findings indicate that self-
control methods merit further systematic investigations both as treatments
in their own right and as adjuncts to other procedures.
258
I POSITIVE CONTROL

225 _ Patient 1 180 Patient 2 200 - Patient 5 180 - Patient 6

220 175 195 175

215 A 170 190 -V 170
210 -\ 165 185 - >> 165 - \
205 -
\ *
_
160 - \ n 18 ° \ „160 \
200 - \. 155 - ^v " 175 ^\ ~ 155 Va
195 \ 150 \ 170 150 \
190 ^A 145 \ 165 145
140 160 140
185
180
-
, , Y\ 135 1 1 1 1 1 c c
loo
1 1 1
1 I'll:
loO
i I I I

() 3 6 9 12 () 3 6 9 12 3 6 9 12 3 6 9 12
Months Months Months Months

195 - Patient 3 190 - Patient 4 220 r Patient 7 210 ^\ Patient 8

190 185 - 215 205 - \
185 180 Vw 210 -\ 200 - \
180 175 -\ 205 "v^. 195 \
175 n 1 ?0 - \ * 200 - ^\ a
"
190 \
170 N. 165 \ 195 \ 185 \
165 \ 160 ^"~\ 190 \ 180 V
160 ^\> 155 \^ 185 \
175 \
155 150 - 180 170
I i i i

145 175 \i i
J 165
i i i
Vj
150
() 3 6 9 12 ( D 3 6 9 12 3 6 9 12 3 6 9 12
Months Months Months Months

Figure 4-4. Weight losses achieved by eight women using self-control proce-
dures. Stuart, 1957.

VERBAL CONDITIONING

The method been widely applied in

of positive reinforcement has also
studies of verbal conditioning.These investigations typically utilize either
a free-interview or discrimination-learning situation in which an experi-
menter selectively reinforces certain classes of verbal responses but
ignores all other verbalizations. The reinforcement usually consists of
nodding, smiling, repeating or paraphrasing the interviewee's remarks, or
simple verbal utterances with positive connotations. The simplicity of
the procedure and its similarity to clinical interviews led to ready adop-
tion of verbal-conditioning paradigms for testing hypotheses concerning
psychotherapeutic interaction processes. The overall results of innumera-
ble studies (Kanfer, 1968; Krasner, 1962; Salzinger, 1959) reveal that
interviewers can exercise substantial control over the content of subjects'
verbal behavior through selective responding. It has been demonstrated,
for example, that affective expressions, positive or negative self -reference
statements, confiding, hostile, and affiliative verbalizations, expressions of
opinion or beliefs, "hallucinatory" and "neurotic" responses, maternal
references, early childhood memories, and common responses to word
association stimuli can be increased by minimal social reinforcement, and
decreased by withholding reactions conveying interest or approval. Ex-
periments designed to isolate variables governing the extent of verbal
conditioning have shown that subjects' responsiveness to social reinforcers
Applications of Contingency Systems 259

is affected by such factors as the characteristics of the experimenter, the

types of reinforcing events employed, the content of responses selected
for modification, subjects' interpretations of the reinforcing stimuli, the
personality characteristics and emotional state of interviewees, and the
quality of the relationship between the experimenter and his subjects.
The and practical significance of experiments demonstrat-
theoretical
ing that verbal content is modifiable through reinforcement largely de-
pends upon the psychological events that one wishes to explain or to
modify. If one is interested in elucidating the communication processes
associated with conversational forms of treatment, then verbal condi-
tioning procedures furnish a laboratory analogue to the clinical interview,
provided that the situation bears some resemblance to psychotherapy,
the interviewer's reinforcing interventions are analogous to those regu-
larly employed by therapists, and the classes of responses chosen for
study exemplify psychotherapists' treatment concerns. In this connection,
verbal-conditioning studies strongly indicate that the specific content of
clients' verbalizations, which is often assumed to reflect intrapsychic proc-
esses, may be largely determined by interviewers' selective interest and
attention. This is corroborated by analyses of response-reinforcement con-
tingencies as they occur naturally in psychotherapeutic interactions ( Ban-
& Miller, 1960; Goldman, 1961; Murray,
dura, Lipsher, 1956; Truax, 1966;
Winder, Ahmad, Bandura, & Rau, 1962). Therapists' positive reinforce-
ment of certain types of verbal responses increases their occurrence,
whereas clients avoid discussing matters that produce less favorable reac-
tions. Considering that people often remain in treatment for extended
periods, and that the therapist's potency as a reinforcing agent is en-
hanced by his high status and his client's emotional dependence upon
him, it is not surprising to find that clients frequently undergo marked
changes in verbal behavior.
People rarely enter psychotherapy and willingly expend considerable
time, money, and effort merely to learn to talk differently. A question of
the utility of verbal conditioning as a method of treatment therefore
arises. Little therapeutic importance can be attached to verbal-condition-
ing procedures unless it is demonstrated that verbal behaviors established
in treatment settings generalize to other persons in the natural environ-
ment and, even more important, that verbal changes influence nonverbal
behaviors to a significant extent. Several investigators have found that
changes in verbal responses display some transfer to different situations
( Ullmann, Krasner, & Collins, 1961 ) and can affect nonverbal responding
(Lovaas, 1961, 1964); however, most studies have failed to obtain gen-
eralization as measured by tasks varying in similarity (Rogers, 1960;
Tobias, 1960; Ullmann, Krasner, & Edinger, 1964; Williams, 1959).
260 POSITIVE CONTROL

The contradictory and weak generalization effects noted above are not
at all surprising when one considers that experimental manipulations in
most conditioning studies barely suffice to produce a conditioning effect,

let alone stimulus or response generalization. It is possible that greater

changes could be achieved through verbal conditioning if interviewers
continued the treatment for longer periods and instituted systematic pro-
grams of generalization training. Generality is usually ensured by varying
stimulus configurations. This requires changing reinforcing agents and
modifying treatment conditions so that both the social settings and the
responses being reinforced are increasingly similar to those encountered
in the natural environment. As noted previously, therapists often choose to
modify verbal behavior in hospital or office settings rather than to alter
social behavior directly under natural conditions, more for reasons of
convenience than therapeutic efficacy. It would be far more meaningful
and advantageous changes from the outset and
to effect desired behavioral
to provide clients with graduated performance tasks to carry out in their
social milieux. Such an approach avoids the unnecessary problems asso-
ciated with circuitous treatment strategies that commence with verbal
conditioning, which must later be supplemented by a series of procedures
designed to establish and to transfer social response patterns to extra-
when change agents
therapeutic situations. There are occasions, of course,
are faced with the problem of reinstating verbal communication in mute
persons (Isaac, Thomas, & Goldiamond, 1960; Salzinger, Feldman,
Cowan, & Salzinger, 1965; Sherman, 1965) or of modifying delusional and
other types of deviant verbalizations Ayllon & Haughton, 1964; Ayllon &
(

Michael, 1959; Richard & Dinoff, 1962). Verbal conditioning may be an

appropriate, though not necessarily the most efficient, procedure for
these purposes.
In addition to the use of verbal conditioning as a method for gaining
understanding of interview processes and as a treatment technique in its

own approach has been employed to study the influence of

right, this
certain variables on learning processes. Initial findings from verbal condi-
tioning experiments were accepted as striking demonstrations of auto-
matic, unconscious learning. However, more detailed analyses of condi-
tioning performances as a function of subjects' awareness of reinforce-
ment contingencies raised fundamental questions about what, in fact, is
being learned in such experiments (i.e., verbal responses or hypotheses
about contingencies). With conceptualization of verbal conditioning as a
hypothesis-testing rather than an automatic response-strengthening proc-
ess, the focus of research interest shifted from traditional learning vari-

ables to the role of awareness in the learning process. Results of this line
of research and their implications for theories of behavioral change will
be reviewed later.
Social Organizational Applications of Reinforcement Contingencies 261

Social Organizational Applications

of Reinforcement Contingencies
The discussion thus far has been primarily concerned with the altera-
tion of circumscribed responses of single individuals through positive
reinforcement. In many cases change agents are faced with the far more
complex task of effecting extensive modification in the attitudes and
behavior of large groups of individuals in educational, rehabilitative, and
other social establishments. In order to accomplish widespread behavioral
changes it is necessary to alter institutionally organized practices of the
larger social system in ways that will simultaneously affect the behavior of
each member in beneficial ways. Some of the issues and problems associ-
ated with group-oriented contingency systems are best illustrated in treat-
ment applications of reinforcement procedures to institutionalized popu-
lations.
Over the years there have appeared numerous sociological studies of
the psychiatric hospital as a social system (Dunham & Weinberg, 1960;
Goffman, 1961; Stanton & Schwartz, 1954; Wessen, 1964), each of which
documents the debilitating effects that prevailing institutional practices
have upon inmate populations. Because of the large numbers of patients
who must be cared for with limited staff resources and facilities, most
institutions, regardless of their avowed objectives, are primarily con-
cerned with the management and social control of patients, rather than
with their rehabilitation. In order to maintain efficiency and economy,
the institution must effect certain changes in patients' behavior that are
incompatible with achievement of effective social functioning and often
prove more deleterious than the behavioral problems that originally led
to the patients' hospitalization.
The initial socialization of inmates usuallv involves some degree of
suppression of individualized modes of behavior. On admission to the
institution, people are characteristically deprived of most of their personal
possessions, their civil rights, their social status, their accustomed satis-
factions, their privacy, and their individuality, so that they can be handled
expeditiously in large groups. Throughout the period of institutionaliza-
tion, the patients' behavior is closely regulated and accommodated to
fixed hospital routines. Under these types of organizational contingencies,
initiative, self-reliance, and self-determination, which are necessary for
attaining satisfactory independent adjustment outside the hospital, are
generally extinguished, whereas the more docile patient-role behaviors
bring about the greatest rewards and promotion in graded ward systems.
Moreover, whatever chores the patients may be assigned contribute pri-
marily to hospital maintenance rather than to the further development of
262 POSITIVE CONTROL

occupational skills. With prolonged withdrawal

of the customary incen-
tives for sustainingcomplex behavioral repertoires, patients generally
display a progressive loss of social and vocational competence, which
renders them even less capable of managing their lives on the outside.
In addition to reinforcement of institutional dependence and behav-
ioral losses through deficient incentives, the gradual abandonment of
patients by their relatives, their somatization as mentally diseased, and
their loss of contact with persons and contemporary events outside the
hospital further contribute to chronicity. Most patients who are subjected
to traditional contingency patterns in psychiatric facilities over a period
of several years become permanently resigned either to a simple regi-
mented institutional life or to a pattern of "intermittent patienthood"
(Friedman, von Mering, & Hinko, 1966). Although, in exchange for self-

determination, hospital residency provides more physical comforts and

fewer taxing demands than patients with limited personal resources can
attain within their own social environments, it is evident that they are
rarely overjoyed or contented with their sheltered existence. Major
changes in reinforcement contingency patterns at the social system level
are therefore required if institutional establishments are to serve an im-
portant rehabilitative function.
The recent years have witnessed increasing use of contingent rein-
forcement on a group basis. These procedures have been systematically
applied, for example, to hospital wards for severelv debilitated psychotics
(Atthowe & Krasner, 1968; Ayllon & Azrin, 1965) and alcoholics (Narrol,
1967), in social-educational programs for retarded children (Bijou, 1965;
Girardeau & Spradlin, 1964), in remedial academic programs for school
dropouts and low achievers (Clark, Lackowicz, & Wolf, 1968; Wolf, Giles,
& Hall, 1968), in educational systems for managing behavior disorders
(O'Leary & Becker, 1967) and fostering productive classroom behavior
(Hall, Panyan, Rabon & Broden, 1968), and in rehabilitative institutions
for delinquent adolescents (Cohen, 1968). Unlike traditional treatment
systems, these programs contain work-payment incentive systems and con-
tingency structures that are highly compatible with those in the larger
society.
There are three main characteristics of group-oriented reinforcement
practices as they are being applied to populations that require, at least
initially, the use of extrinsic incentives. First, behaviors essential for effec-
tive day-to-day functioning (e.g., self -management, educational accom-
plishments, appropriate social behavior, satisfactory work performance,
etc.) are designated by the staff as reinforceable responses. Second, a
simulated currency, which exchangeable for a varietv of desired ob-
is

jects, activities, and special privileges, can be earned by performance of

the appropriate behaviors. Third, an exchange system is devised in

Social Organizational Applications of Reinforcement Contingencies 263

which a specified number of points or tokens is required for the purchase

of various objects and privileges, similar to monetary transactions in the
outside community.
The powerful control exercised by group reinforcement procedures
over the behavior of an entire psychiatric ward population is best exem-
plified by a series of experiments ( Ayllon & Azrin, 1965 ) in which organi-
zational reinforcement contingencies were systematically varied. In each
of the studies, tokens earned could be used to secure, among other things,
privacy (e.g., choice of bedroom, choice of eating group, selection of per-
sonal furniture and a room divider), freedom to leave the ward and
hospital grounds, private audience with members of the hospital staff,
recreational opportunities (e.g., movies, band concerts, social functions,
exclusive rental of a radio or a television set ) and a varied array of com-
,

missary articles that could be obtained by special request.

One experiment, conducted with a small group of chronic female
patients, studied the influence of reinforcement contingencieson patients'
performance of off-ward jobs that were staffed by paid hospital personnel.
In the initial phase each patient selected her preferred work assignment
and received 70 tokens for each full 6-hour day. In order to ascertain
whether job selection was indeed determined by extrinsic incentives or by
social and intrinsic rewards deriving from the vocational activity itself,
in the second phase of the study patients were no longer paid for partici-
pating in their preferred jobs, but tokens could be earned by work in
non-preferred assignments. During the third phase, the original reinforce-
ment for the preferred job was reinstated.
In marked contrast with the usually erratic and lethargic work per-
formance of patients prior to the incentive program, under the simulated
economy system all patients reported promptly and regularly to work
without complaint, even though they were free to take time off from
their jobs whenever they wished. That the contingency structure was
highly influential in regulating the behavior of the group is further shown
by the fact that all but one of the patients changed their work assign-
ments immediately when reinforcement was shifted from preferred to
non-preferred jobs (Figure 4-5). When informed that the people with
whom they had been working were very pleased with their performance
and would like them to continue, but in order to give other patients a turn
at the job, no tokens would be available, several patients explained to
ward attendants: "No, honey, I cannot work at the laundry for nothing.
I'll work at the lab. I just couldn't make it to pay my rent, if I didn't get

paid." . ."You mean if I work at the lab I won't get paid? I need tokens
.

to buy cigarettes for my boy friend and to buy new clothes so I'll look nice
like the other girls [pp. 363-365]."
In a subsequent experiment, when patients were paid the tokens on a
264 POSITIVE CONTROL

Reinforcement for Reinforcement for

preferred job preferred job
Reinforcement for
non- preferred job

Preferred job

Non -preferred job

N =1

9 t » t » t;
20 30
Days

Figure 4-5. Mean number of hours patients worked per day when positive
reinforcement was varied between preferred and nonpreferred jobs. Ayllon &
Azrin, 1965.

noncontingent basis each morning rather than at completion of the day's

assignment, they all ceased working within a week. On the other hand,
when reinforcement was again made conditional upon work performance,
the patients immediately resumed their job assignments. These marked
changes in performance are particularly interesting in view of patients'
reports that they worked to keep active, because of enjoyable social rela-
tionships, personal satisfactions deriving from the work itself, and other
intrinsic gratifications. Obviously in this case self-reports were unreliable
indicants of the actual conditions maintaining their behavior.
The manner in which patients spent their currency is also highly in-
was used mainly to secure privacy (45%), commissary items
formative. It
(34%), and ward leaves (21%), whereas virtually no tokens were ex-
pended for private audiences with hospital staff (.001%), for religious
services (.0002%), or recreational activities (.0008%).
The contingency system was found to be equally effective in main-
taining active patient participation in varied on-ward activities including
complex duties and sales
as dietitians, secretarial assistants, waitresses,
clerks in the commissary, in janitorial, ward
and laundry work,
cleaning,
assisting in recreational programs and personal care of other patients, and
special services. As shown in Figure 4-6, when rewards were dependent
upon successful completion of performances the patients worked indus-
 .

Social Organizational Applications of Reinforcement Contingencies 265

Reinforcement
not
50 contingent
upon
•
v.-'-.. performance
•• • •• •©••
••••• • ••
• • • •• ••
•
40
1
|
Reinforcement Reinforcement
contingent contingent
upon upon
performance 1 performance
30 •

1
•

20 -
1
N = 44

10
\

I
1

20 40 60
Days

Figure 4-6. Total number of hours a group of 44 schizophrenic patients partici-

pated in rehabilitative activities when rewards were conditional upon successful
completion of assignments and when the same rewards were provided regardless
of whether or not the patients took part in the activities. Ayllon & Azrin, 1965.

triously; when they were simply given the tokens noncontingently they
gradually stopped working; and when contingent reinforcement proce-
dures were reinstated their participation was restored immediately and
maintained at the previously high level.
It is when the incentives were completely
of particular interest that
withdrawn and the institutional rewards and privileges we™ ^ade freely
available in a manner similar to usual hospital practices, a marked loss in
behavior resulted ( Figure 4-7 )
The rapid behavioral changes produced by alternating incentive con-
ditions does not necessarily demonstrate that reinforcement is the sole
controlling factor. In social situations behavior always remains partly
under modeling stimulus control. Persons who occupy a prestigeful posi-
tion in a social group usually serve as major sources of social behavior
for other members. Consequently, to the extent that the incentive condi-
tions modified the behavior of prestigeous models, other patients may
266 POSITIVE CONTROL

No
reinforcement
50
• • • •• • »
• • •• • • •
* •• • •
•
•
I
>40
CD
|
T5 Reinforcement Reinforcement
contingent contingent
upon upon
performance performance
30

I
20 -
N = 44

10
V •• •
•
••
•
•

15 30 45
Days

Figure 4-7. Total number of hours spent each day by the group of 44 patients
performing "on-ward" activities during periods when rewards were given upon
completion of work assignments, when positive incentives were not used and
the various activities and privileges were freely available, and when the
reinforcement contingencies were reintroduced into the social system. Ayllon &
Azrin, 1965.

have emulated their actions independently of the token rewards. As

Schwartz & Hawkins (1965) have shown, substantially different group
behavior can occur under the same reinforcement conditions depending
upon the behavior of influential models. The ubiquitous influence of
modeling cues complicates interpretation of intragroup replicative con-
trol through manipulation of reinforcement variables. An additional com-
plication was unfortunately introduced in several of the studies by desig-
nating the noncontingent period as a "vacation with pay," which carries
a strong suggestion that work might be temporarily discontinued. The
changes observed were, therefore, probably a compound function of in-
centive conditions, modeling influences, and instructional sets.
The successive reversals of work performances consistently achieved
through systematic variation of contingency structures provide con-
vincing experimental demonstrations that organizational reinforcement
practices can determine the degree to which persons will exhibit initiative,
Social Organizational Applications of Reinforcement Contingencies 267

involvement, and active participation in available

activities. These prin-

ciples and procedures have been applied on an extended basis with

deliberate therapeutic intent in various institutional settings.
Atthowe & Krasner (1968) established an incentive program in an
entire psychiatric ward population of 86 chronic schizophrenic patients,
whose length of hospitalization varied from 4 to 49 years with a median
institutional residency of 24 years. As a group, these patients had main-
tained an apathetic, isolated, and almost vegetative existence on the
ward. They participated minimally in the hospital routines, and they
often neglected to care for themselves or to change their clothes unless
aided by attendants. Most had lost complete contact with the outside
community and were essentially resigned to a permanent institutional
residency.
In an effort to reinstate interpersonal and self-directing behavior so
that the patients could function more effectively, a token system involv-
ing most phases of ward and hospital life was adopted. The patients
were informed that, in the future, certain privileges, recreational activities,
passes, money allowances, and numerous other rewarding events could
be purchased with tokens. The patients were provided with many op-
portunities for earning tokens through appropriate social behavior. In
addition to self-care, responsibleness, and housekeeping behaviors, the
patients could earn tokens for participating in various social and voca-
tional activities. Each patient was rewarded immediately after successful
completion of some desired activity. A system of negative sanctions and
token fines was established to control seriously disruptive behaviors and
theft of tokens. The latter problem attested to the fact that the range
of behaviors created by the simulated economy was, indeed, analogous
to that occurring in the larger outside community.
Those who functioned more independently and could assume full
responsibility for their work assignments were compensated more gener-
ously. However, they were paid the tokens only once a week in order to
teach them to budget their expenditures. Bv utilizing banking and budget
management systems patients were further prepared for successful com-
munity life. Special token bonuses were also offered if patients received
satisfactory ratings in their industrial training and made worthy contribu-
tions to their social group.
The ward incentive program mirrored societal practices in still another
respect. Patients who were able to function productively on their jobs,
who had and who had sufficient token savings
a realistic discharge plan,
for a substantial membership fee could, if vacancies existed, join a
privileged group on the ward which freed them from most of the institu-
tional constraints. Members received a credit card that permitted them
268 POSITIVE CONTROL

considerable freedom to regulate their own behavior. It entitled them,

not only to all the privileges within the token system, but additional ad-
vantages as well. They were provided, for example, choice dining and
sleeping arrangements, extra passes on weekdays and unlimited pass
privileges on weekends, and they could bank their money in the com-
munity without any restrictions on withdrawal.
The efficacy of this treatment program was evaluated in terms of
several indices including both changes in the specific behaviors that
were involved in the reinforcement contingencies and more generalized
outcomes. Consistent with the results of Ayllon & Azrin (1965), it was
found that the target behaviors were restored quickly and dramatically
after introduction of incentives. This is shown most clearly by the marked
decrease in the frequency with which attendants had to awaken patients,
assist them with personal grooming, make their beds, and prepare them

for daily activities. The number of morning infractions dropped from a

baseline rate of approximately 75 per week prior to reinforcement to about
9 after several months of treatment. The patients likewise displayed in-
creased participation in group activities, which were also specifically
reinforced performances. Some additional evidence that the incentive
system was, in fact, a significant contributor to the observed changes is

shown in patients' increased social participation when they were rewarded

more generously, whereas participation in group activities declined
somewhat when the token rate was later reduced to its original level.
Among generalized changes observed were the patients' display of
substantially more communication as measured by behavioral rat-
social
ings, and greater community. This was reflected in
interest in the outside
increased use of passes, from an average of 9 per week before treatment
to 37 per week after the incentive program had been instituted. Indeed,
26 percent of the patients left the hospital on daytime or overnight passes
for the first time in mam years, and one patient, for whom the hospital
7

had become a permanent abode, ventured out for the first time in 43
years!
Discharge rates also verified the beneficial effects of the new rein-
forcement practices. Twenty-one patients left the hospital via the privi-
leged group, almost double the discharge rate for the same ward the
previous year. The overall findings of this project indicate that alteration
of contingency structures in a hospital social system can not only coun-
teract the stupefying effects of prolonged institutionalization, but also
produce generalized increases in self-directive and interpersonal modes of
behavior.
A comprehensive treatment program does not simply aim to produce
effective functioning in circumscribed areas within the institution, but
Social Organizational Applications of Reinforcement Contingencies 269

rather to establish the requisite social and vocational competencies for

successful self-management in the larger society. Institutionalized patients
who possess marketable skills and who have a reasonably adequate en-
vironment to which to return can undoubtedly benefit greatly from pro-
grams that provide adequate guidance and reinforcing support for adap-
tive patterns of behavior. Favorable outcomes can be further ensured by
the use of transitional facilities embodying contingency systems that foster
gainful employment and progressively more active participation in com-
munity life. However, chronicallv hospitalized patients, who are grossly

lacking in personal and social resources, present the most challenging re-
habilitation problem. Results based on follow-up studies disclose that ap-
proximately 70 percent of chronic patients who are discharged from men-
tal hospitals return within 18 months regardless of the type of treatment
received during the period of hospitalization ( Fairweather, Simon,
Gebhard, Weingarten, Holland, Sanders, Stone, & Reahl, 1960; Fair-
weather & Simon, 1963 ) As a consequence of this high readmission rate,
.

hospitals are faced with a continuously growing population of chronic

patients. Moreover, for reasons given earlier, most of these patients are
destined for a permanent institutional residency.
It is generally acknowledged that unless the social roles and com-

petencies acquired by patients in institutional settings approximate the

behaviors essential for meeting the more rigorous demands of community
living, it is highly unlikely that they will be able to achieve a satisfactory
independent adjustment. With this in mind, Fairweather and his co-
workers (Fairweather, 1964) conducted an elaborate field experiment to
determine whether chronically hospitalized patients can be restored to
the community bv providing them with opportunities to develop, within
the hospital, some of the problem-solving and self-management be-
haviors required in the outside community.
The participants, predominantly schizophrenic patients, were matched
on the basis of age, diagnosis, and length of hospitalization and assigned
randomly either to a conventional hospital program or to patient-led
problem-solving groups. The treatment programs were similar in all re-
spects, with the single exception that patients in the two groups took part
in different activities for two hourly sessions each day. Those in the tradi-
tional treatment program participated in individual work assignments
and a recreational hour during the time that their counterparts engaged
in group work assignment and decision-making sessions.
In the task group condition an incentive system was applied in which
the participants received increasing monetary and pass privilege rewards,
contingent on the development of four levels of progressively complex
social and self-directive behavior. The responsibility for evaluating and
270 POSITIVE CONTROL

modifying the behavior of each member, and for implementing the in-
centive system, was delegated to the group. It met daily to discuss the
progress of individual members, their problems, and constructive ways in
which these might be managed or modified. Any staff member could be
invited to furnish factual information needed by the group to reach a
reasonable decision, but the staff refrained from recommending what
courses of action should be taken.
Each week the group also met with the staff to present their recom-
mendations concerning each individual member's step-level and con-
comitant money and passes for the following week, the actions taken
with respect to problem behavior, and their evaluations of the progress,
morale, and functioning of their group. The staff then either approved all
recommendations made bv the group, approved some and disapproved
others, or rejected their recommendations. If warranted, the entire group
could be rewarded or penalized by being raised or lowered one step-
level, depending upon the appropriateness of the group's decision-making
behavior.
Thus, the social-role behaviors required of both the patients and the
staff differed markedly two programs. In the conventional treat-
in the
ment the was primarily responsible for regulating the
hospital staff
patients' daily activities, for making decisions concerning money allot-
ments, passes and other types of privileges, and for implementing dis-
ciplinary and remedial courses of action. The patients, in turn, occupied
the usual subordinate, patient role. Bv contrast, although the staff in the
group decision-making program could overrule or amend action-oriented
recommendations proposed by patients, staff members functioned pri-
marily as consultants and resource persons. This social structure provided
patients considerable freedom and responsibility to manage their own
activities and to make decisions that significantly affected each other's
behavior.
In an effort to control for possible effects of different staff characteris-

ticson patients' social behavior, the two sets of staff members changed
wards halfway through the experiment. The relative efficacy of the
treatment approaches was objectively assessed in terms of diverse criteria
including a multitude of behavior ratings, sociometricallv derived pref-
erences, self-evaluations, administrative indices, and attitude question-
naires.Most of the behavioral assessments were conducted throughout
the 27 weeks that the experiment was in progress, while others were
obtained at the completion of the study, and six months later.
The voluminous data from this ambitious, well-executed field study
demonstrate that the program specifically designed to reinstate inter-
personal responsiveness and self-directive behavior in patients yielded
Social Organizational Applications of Reinforcement Contingencies 271

consistently superior outcomes. Patients in the latter treatment condition

rapidly formed cohesive groups, in which the members exhibited in-
creasing mutual interest, help, and responsibility. They organized their
own employment group, interviewed and counseled patients, and assumed
full responsibility in locating employment for eligible members. They also
established informal educational programs taught by group members
who possessed specialized skills or knowledge.
The contrasting ward more strikingly revealed in
climates are even
patients' specific attitudesand social behaviors. Relative to the patients
receiving the traditional care and treatment, those in the graded reward
program showed significantly greater interpersonal responsiveness, more
verbal communication, and less bizarre behavior. Some of these com-
parative data are summarized graphically in Figure 4-8. In their socio-
metric and questionnaire responses, patients in the incentive-group
program viewed their fellow members more positively; they regarded
their treatment as more difficult and demanding but, at the same time,
more beneficial; and they displayed greater optimism about their eventual
discharge, future employment, and development of close interpersonal
relationships upon their return to the community. These positive ex-
pectations were largely confirmed by the follow-up study. Compared to
patients who received the traditional treatment, those who participated in
the incentive-group program spent a shorter time in the hospital, were
more frequently gainfully employed, met with friends more regularly,
and engaged in a higher level of verbal interaction with others.
It is interesting to note that in the present treatment program

favorable generalized changes were effected in patients' behavior even

though the staff explicitly provided only a general set of contingencies
and relatively few concrete incentives. The investigators report that the
monetary and pass privilege rewards were essential in the early phase
of treatment, but after the patients established mutually rewarding re-
lationships with each other, pride in their accomplishments, competitive-
ness with other groups, and mutual social approval and disapproval
became the major reinforcing events regulating their day-to-day be-
havior. These findings suggest that patients can successfully modify and
sustain each other's behavior through mutual social reinforcement pro-
vided that behavioral guidelines and incentives are furnished, conditions
are arranged that lead to the formation of a cohesive group, and the re-
sponsibility for change is primarily delegated to the group. Since the
behavioral demands that a group places upon its . members through
common agreement are less likely to be resisted than staff-imposed con-
tingencies, agroup-mediated treatment program may achieve a more
natural and higher degree of change in social behavior. In a project
272 POSITIVE CONTROL

7 9 11 13 15 17 19 21 23 25 27 11 13 15 17 19 21 23 25 27
Week Week
(c) (d)

Figure 4-8. Behavioral changes displayed by patients receiving either conven-

tional hospital treatment or a program designed to establish problem-solving and
self -management competencies, (a), percentage of observations during which
patients manifested pathological behavior; (b), percentage of observations dur-
ing which patients engaged in social interactions involving three or more
persons; (c), total time the two groups of patients remained silent during
weekly ward meetings: (d), mean number of patients participating in weekly
ward meeting discussions. Fairweather, 1964.
Social Organizational Applications of Reinforcement Contingencies 273

25^ 50 100 300- /\/V 100

t \ •

40 [45 50| 55
Baseline Manager Fines Manager

Figure 4-9. Number of infractions occurring under two types of contingency

systems: (1) In the manager condition one of the boys purchased a manager-
ship which assigned to him the responsibility for selecting individuals to
perform the tasks and for paying or fining them according to the quality of
their work. The manager received or lost monetary points according to the
number of tasks completed. (2) In the fines condition the staff imposed
penalties on the entire group for failure to perform the required tasks. The
numbers under the arrows indicate the number of monetary points the group
was fined. Phillips, 1968.

evaluating the efficacy of a token reinforcement system for treating

predelinquent boys, Phillips (1968) found that large token penalties
administered by the staff to the entire group failed to reduce their un-
desired behavior, whereas it was promptly and enduringly eliminated

when lesser fines were individually levied by a group member who

assumed managerial responsibilitv for the troublesome activities (Figure
4-9).
The success of group-managed contingency systems still relies upon
reinforcement processes, except that interpersonal reinforcers are favored
over material rewards, and group members rather than the staff serve as
the main reinforcing agents. Although Fairweather emphasizes the
autonomous functioning of the groups, and the gradual emergence of
group norms, it should be noted that the staff members continuously
imposed specific contingencies on the groups, both in their written com-
munications describing problem behaviors of individual members that
the group was expected to control, and in their evaluative responses to
the groups' decisions. It is therefore not surprising that each group
evolved patterns of reinforcement that fostered desired behavioral
274 POSITIVE CONTROL

changes. In the absence of adequate staff monitoring of a group's activi-

ties, particularly in early stages of treatment, the types of reinforcement
contingencies that a given patient group might adopt would be left to

fortuitous factors.
In view of the generalized changes in interpersonal responsiveness
achieved by Fairweather, it would be of considerable interest to compare
systematically the relative efficacy of staff-administered reinforcement
systems involving an elaborate set of precise contingencies of the type
employed by Ayllon, and Atthowe & Krasner, with one in which some in-
centives are used to foster strong group cohesiveness but controlling
functions are in large part delegated to group members. The merits of
these two approaches, which involve many common principles, could
be easily combined to form a program in which a specified set of rein-
forcement contingencies is developed and implemented by the patients
themselves under staff guidance.
Another important contingency variable that requires systematic
investigation is concerned with whether rewards are tied to individual
performances or to entire sets of behavior. In the latter system, successive
phases are devised which require increasingly higher levels of function-
ing in several different areas. As individuals progress through these
sequential steps by adopting the requisite patterns of behavior they
receive increased rewards and privileges. In treating a group of delin-
quent adolescents, Martin, Burkholder, Rosenthal, Tharp, & Thorne
(1968) found that a phase-contingent system of reinforcement produced
more rapid and uniformly positive changes in behavior than a previous
system in which specific responses were individually reinforced. Indeed,
the latter contingency structure produced much wrangling and accusa-
tions of unfairness because, in an effort to ensure adequate reinforcement
of progress made by youngsters functioning at different levels, they were
required to meet different behavioral standards and achievements for
similar rewards. The authors attribute the greater efficacy of the rein-
forcement system linked to role behaviors to the fact that clear specifica-
tion of sequential goals and the behaviors required for promotion from
one phase to the next serve as prompts and positive guides for changes
in desirable directions.
In most applications of reinforcement principles to severely inca-
pacitated persons, behavioral improvements are initially achieved by
immediate reinforcement of specific performances. However, as their
competencies are increased, individuals are promoted to a phase system
analogous to hierarchical reinforcement structures existing in community
life.

Despite the favorable changes in behavior produced by the incentive-

Social Organizational Applications of Reinforcement Contingencies 275

group program developed by Fairweather, readmission rates for patients

who had received the different forms of treatment were essentially the
same. Eight) percent of the short-term psychotics maintained an ade-
7

quate community adjustment, whereas only 45 percent of those who had

been institutionalized for two or more years remained outside the hospital
bv the end of six months. These outcome data provide further justifica-
tion for questions that are increasingly raised about the wisdom of con-
ducting behavioral change programs within hospital settings. The be-
havioral requirements for effective hospital and community adjustment
differ in somany fundamental respects that, even though institutional
reinforcement practices may establish and strengthen some of the re-
sponse patterns consistent with those in the larger society, most of the
social and vocational behaviors that can be developed in hospitals have
limited transfer value. More radical departures from conventional in-
stitutional approaches are clearly required if chronically hospitalized
psychotics are to be restored to societv as sociallv productive members.
A second experimental project conducted by Fairweather and his
associates (Fairweather, Sanders, Mavnard, & Cressler, 1969) represents
one example of an innovative program that holds considerable promise for
the rehabilitation of chronic psychotics. Based on evidence that the type
of social environment to which patients return is the major determinant
of successful communitv adjustment, Fairweather decided to institute
the social subsystem that proved highly successful in the hospital in a
community residence where behavioral requirements are essentially
identical to those of any member residing in the community. One group
of chronic patients was formed in the hospital and, after they achieved
a sufficient degree of organization and cohesiveness within the hospital
and adequate training in decision-making behavior to function effectively,
the group was transferred to a lodge located in the community. There the
members were responsible, as a unit, for regulating each other's be-
managing the affairs of the lodge, including the purchase and
havior,
preparation of food, keeping records of expenditures and personal loans
from their own savings bank, and, when necessarv, obtaining information
about drug dosages from a local phvsician as well as administering the
necessary medication. In addition, the patients operated an income-pro-
ducing business (a janitorial service, both commercial and residential,
supplemented by vardwork, general hauling, and painting) in the com-
munitv. Thev assumed major responsibility for receiving and processing
work orders, arranging transportation to and from work, assignment of
patients to specific jobs appropriate to their level of functioning, and
management of the monetary incentive system. Initially a research staff
member coordinated the daily operations of the lodge, but later this
276 POSITIVE CONTROL

Transition to lodge autonomy

Transition Lodge
begins closes

100 i-
Lodge group

Control group

80

28 33
mos mos

60

« 40

20

12 18
JiilkL
24
Months
30 34 40

Figure 4-10. Percentage of time that patients in the lodge and hospital pro-
grams spent in the community for 40 months of follow-up. The lodge program
was discontinued after 33 months. Fairweather et al., 1969.

function was performed even more successfully by a lay person with

periodic consultation provided by a member of the research staff. The
primary function of the consultation was to supply needed information, to
assess the group's functioning, to review any personal or organizational
problems that arose, and to evaluate the group's recommended solutions.
The income derived from the business, which amounted to a total of
$52,000 over a period of two and three-fourths years, was distributed
weekly among the participants with each member's share being deter-
mined by his productivity and the amount of responsibility that he
assumed in the organization.
In order to evaluate the relative efficacy of this community-based
program, an individually matched group of 75 patients received the group
decision-making treatment in the hospital along with the traditional
 Social Organizational Applications of Reinforcement Contingencies 277

types of assistance and out-patient therapy following discharge from

the institution. Repeated measurements were made of changes in patients'
self-evaluations, attitudes, interpersonal behavior, and ability to main-
tain a satisfactory independent adjustment in the community.
Results of this project show that, within a supportive subcommunity,
chronic marginal individuals can manage their daily affairs and lead a
worthwhile and constructive life. A forty-month follow-up study revealed
that the experimentally created subsystem sustained patients in the com-
munity, whereas those treated in the hospital were unable to adjust to
life on the outside (Figure 4-10). The differences between these groups

are even more striking in their vocational functioning: the lodge system
enabled patients to maintain gainful employment, while none of the
patients who received treatment within the hospital setting were employed
full time (Figure 4-11). These beneficial results were obtained at an
individual cost of $6 per day, as compared to $14 at the hospital from

100
Lodge group

Control group

80

Transition to lodge autonomy

60

40

't
20

Figure 4-11. Percentage of time that patients in the lodge and hospital pro-
grams were employed full time for 40 months of follow-up. Fairweather et al.,
1969.
278 POSITIVE CONTROL

which the participants were drawn, $12 at a local state hospital, $45 at a
local private hospital, and $56 at a local county hospital.
The main purpose of the type of residential program discussed above
is to create a semi-autonomous subcommunity in which marginal indi-

viduals can function in a socially productive manner, rather than to

serve as a transitional facility. Some of the participants may eventually
leave after they have developed the social and vocational competencies
required to live independently. However, those who have no immediate
families to return to or little or no financial resources, and who are un-
likely to gainemployment individually in the open job market because
of theiradvanced age, limited vocational skills, and stigmatization, may
achieve the most satisfactory adjustment in their own supportive social
system. Individually they may be unable to meet the demands of com-
munity life, but as a group they can function as self-supporting and
productive individuals who would otherwise be institutionalized for the
rest of their lives.

GROUP REINFORCEMENT SYSTEMS

INTHE MODIFICATION OF DELINQUENCY
In a program devised by Cohen ( 1968; Cohen, Filipczak, Bis, Cohen,
Goldiamond, & Larkin, 1968) for overcoming educational deficits in ado-
lescent delinquents, the institutional reinforcement practices are, in many
respects, also analogous to the contingency structures that obtain in the
larger community.
The adoption of, and adherence to, prosocial patterns of behavior is

highly dependent upon adequate proficiency in educational and voca-

tional skills necessary for legitimate acquisition of resources that are
highly valued by the culture. Most delinquents are handicapped by
gross deficits in the educational abilities requisite for satisfactory voca-
tional adjustment. As a consequence, those who value costly possessions
and the rewards attendant upon symbols of high status are forced
social
to resort to deviant means for obtaining them. Regardless of whatever
other objectives may be selected in the rehabilitation of delinquents, little

progress can be made in altering antisocial behavior unless habitual

offenders are provided with vocational skills that will permit legitimate
attainment of desired social and material rewards. Therefore, the experi-
mental program devised by Cohen focused primarily upon the creation
of educational competencies and favorable attitudes toward academic
pursuits.
The adolescent boys, who were randomly selected for the experi-
mental program from the institutional population, presented exceedingly
poor academic histories: All had dropped out of school, they showed
little interest in academic matters, and none derived much intrinsic
Social Organizational Applications of Reinforcement Contingencies 279

satisfaction from intellectual activities. A system of extrinsic rewards

based on a point economy was therefore employed to establish academic
behaviors. Points earned for high achievement scores in programmed
instructional courses and other academic activities could purchase favor-
able accommodations and a wide range of services and commodities.
Starting at a base pay of $10 to $15 a week, payable on high scholastic
achievement and a minimum number of hours of academic work, the
boys could earn additional money points by studying.
Most coercive sanctions imposed on delinquents by correctional in-
structions were absent from this program. Rather, heavy reliance was
placed on positive incentives, individual and self-determina-
initiative,

tion. life on the out-

Consistent with the basic contingency system in daily
side, boys paid for their private rooms ($6 a week, or 600 points) and
selected meal plans that varied in choice of foods. They used point cur-
rency to rent recreational items and private offices, and to pay tuition
for requested courses. They could also purchase admission to entertain-
ment or leisure-time activities provided at a project lounge,and merchan-
dise available in either the project store or through mail order catalogues.
Whenever applicable, the prices of items corresponded to the rates in
the outside community. Within this environment the boys were provided
with considerable freedom: They determined their own study and bed-
time routines, they selected their own leisure-time activities and planned
their own outside programs, they aided in planning menus, and they had
open mailing and visiting privileges.
A boy was free to choose not to participate in any of the scholastic or
rehabilitative activities, but if his points fell below 1200 he was placed
"on relief." Although this problem rarely arose, while on relief status the
boy lost his private room, was served the regular institutional food, and
enjoyed no extra luxuries. This system of treatment corresponds closely
to principles suggested earlier for altering behavior on a positive rein-
forcement basis by creating an environment where noncontingent gratifi-
cations are provided at an adequate but low level, and in which the per-
formance of desired modes of behavior produces further rewards. If
such a system is well managed, hostile-resistive actions by participants
should be markedly reduced because their own behavior determines
their welfare and not management fiat.
Under environmental contingencies specifically designed to support
learning, delinquent boys who had received few prior accolades for
scholarship and were school dropouts worked productively at self-man-
aged educational activities. They studied conscientiously in their spare
time, and gained more than two grade levels on standard achievement
tests within an eight-month period. These favorable results suggest that
reinforcing environments for learning can be successfully employed in
280 POSITIVE CONTROL

the rehabilitation not only of delinquents, but of other educationally dis-

advantaged children as well.
The contingency system discussed above aimed almost exclusively
at educational behaviors and, although beneficial changes in attitudes
and social behavior were noted, no concerted effort was made to alter
The contingencies could, of course, be
interpersonal response patterns.
easilyextended to include cooperative, responsible, and self-controlling
behavior which, supplemented with proficiency in a selected occupation,
would remove the major personal barriers to a successful prosocial
adjustment.

INTERDEPENDENT CONTINGENCY SYSTEMS

The preceding social systems primarily involve group-wide contin-
gencies, but reinforcements arc still administered on an individual basis.
Work payment arrangements, for example, are usually the same for all

members of the group, although the actual compensation depends upon

the type and amount of work performed by each person. Under such
conditions, a members outcomes are not affected by the behavior of
others. One can. of course, influence the degree of social interaction be-
tween persons even on an individualistic reinforcement basis simply
by rewarding eoopcratiye responses (Cohen & Lindslev. 1964). or other
forms of social behavior.
On some occasions a change agent may be called upon to increase the
level of mutual responsibility, cohesiveness. commitment, and contribu-
tion to a common goal among all members of a group. This objective
can be accomplished most effectively by instituting reinforcement con-
tingencies on a group basis. Under these circumstances individual re-
warding outcomes depend upon the level of group performance and,
conversely, censurable behavior by any given member may produce nega-
tive consequences for the entire group. By haying people share in the
consequences of their decisions and actions, the degree of social responsi-
bility and involvement is thereby increased.

There have been some laboratory investigations of group productivity

as a function of different types of group contingency structures. Glaser
& Klaus (1966) found that group behavior was influenced by reinforce-
ment contingencies in the same way as individual behavior when all
members were required to perform correctly to produce rewarding
outcomes for themselves. Group output increased when correct team
performances were positively reinforced, whereas the rate of correct re-
sponding declined when group performance no longer resulted in rein-
forcing consequences. On the other hand, a contingency structure in
which a correct response by any member produced reinforcement for

the entire group often resulted in a deterioration of performance for the

 .

Social Organizational Applications of Reinforcement Contingencies 281

group or individual members. The latter condition is analogous to na-

where individuals
turalistic situations from someone else's efforts.
benefit
The decline of responsiveness can be easily offset by the use of a double
contingency so that a given individual's outcomes are determined by both
the extent of his own contribution and the group's overall performance.
It will be recalled that Fairweather's residential treatment program re-

lies upon this type of contingency system in the allocation of monetary

rewards.
Some suggestive evidence concerning the relative efficacy of individ-
ual and group contingency systems is provided by Wolf & Risley ( 1967 )
They studied the amount of disruptive classroom behavior displayed by
a child in the absence of any special reinforcement and during subse-
quent periods when either she alone earned five points, or she and her
immediate peers each earned one point for her commendable behavior.
It is interesting to note that the child's activities were more effectively

controlled under the peer contingency even though it produced only one-
fifth of the amount of reinforcement provided on the individual basis.

Apparently, through the group reward, change agents were able to enlist
the peers' aid in modifying the behavior of their companion. The findings
of the present case study, and those cited earlier, are sufficiently interest-
ing to warrant further systematic exploration of the effects of different
types of group contingency structures on social performance.
Group-oriented reinforcement practices have been adopted on a
society-wide basis in the Soviet Union for the explicit purpose of develop-
ing strong collectivistic morality in its citizenry ( Bronfenbrenner, 1962).
This aim isimplemented by use of school collectives where children's
behavior is regulated by rewards and punishments administered on a
group basis, so that all members of a given social unit are affected by
the actions of each individual. Socialization at the school is commenced
in the primary grades by assigning children to row units. Daily records
are kept of each group's performance on a variety of social and academic
activities. The grades that a person receives are based on the overall

performance of his unit rather than his individual accomplishment, and,

from time to time, the most successful rows are publicly acclaimed, and
given special privileges. Collective achievement is further reinforced by
introducing competition not only between rows, but also between class-
rooms, between schools, between districts, and so on. In this manner co-
operative contingencies are maintained within groups of expanding mem-
bership, while simultaneously, strong competitive contingencies are insti-
tuted between progressively larger social units.
In addition to inculcating collective orientations through group incen-
tives, the control and modification of behavior is delegated to the peer
group. Initially teachers set the standards of behavior and evaluate the
282 POSITIVE CONTROL

group's performance. As soon as possible, however, the responsibility

for evaluating the behavior of individuals and for administering rewards
and sanctions is turned over to members of the social unit. This transfer
isaccomplished by designating row monitors for each activity to judge
work assignments, to criticize shortcomings of their comrades, and to
devise effective means for helping other members of one's collective.
Whenever individuals are praised for their mutual aid, the contribution
to group achievement is carefully noted.
Pervasive and unrelenting application of group-oriented systems of
reinforcement which stifle autonomy and self-determination clearly are
antithetical to goals that are highly valued in most societies. Therefore,
where interdependent contingencies are instituted to increase group unity
and responsibility, each member should also be given opportunities for
independent accomplishment.

Summary
The present chapter reviewed theories of reinforcement in terms of
their relative emphasis upon associative-strengthening or incentive func-
tions of reinforcers. Evidence bearing on alternative explanations of re-

inforcement effects in terms of drive reduction, sensory stimulation, and

opportunities to engage in prepotent responses was also reviewed. The
fact thatmarkedly diverse events can assume reinforcing functions and
their value is determined by relational rather than fixed properties
present difficulties for the construction of an inclusive theory of rein-
forcement.
Since behavior is largely governed by its consequences, differential
reinforcement has been extensively applied, both singlv and in combina-
tion with other methods, to overcome behavioral deficits, to maintain
existing response patterns, and to alter devant behavior which is sup-
ported by its rewarding effects.
Three sets of variables are importantly involved in effective imple-
mentation of reinforcement principles. First, it is essential to devise an
incentive system that capable of maintaining a high level of responsive-
is

ness over long periods. Without adequate incentives behavioral control

is likely to remain weak and unstable. Second, the reinforcing events

must be made conditional upon occurrence of the desired behavior. Al-

though reinforcement practices are commonly used to modify behavior
in natural settings, these efforts are often minimally effective because
the intended consequences are poorlv timed, the wrong responses may
be inadvertently reinforced, and, even when appropriate contingencies
are arranged, they are often only sporadically applied.
The third requirement concerns methods powerful enough to induce
Summary 283

or to elicit the desired modes of response with sufficient frequency for

them to be strongly established through positive reinforcement. Several
different strategies can be used for this purpose. The most popular ap-
proach, though not necessarily the most efficient one, relies upon a
process of gradually shaping emitted responses into desired patternsby
selective reinforcement of successively closer approximations.However,
in most cases complex responses can be more rapidly created by the
provision of performance guides in the form of appropriate verbal or
behavioral modeling cues. Another method, applicable when responses
are already available but rarely exhibited, depends upon prompting and
fading techniques in which any stimuli known to exercise strong control
over the desired behavior are enlisted until its incidence is sufficiently
increased, after which the ancillary stimulus supports are gradually with-
drawn.
The behavioral change process is further complicated because addi-
tional learning conditions must be arranged if established response pat-
terns are to generalize beyond the specific treatment situation, and to
persist long after the specially created contingencies have been discon-
tinued. Enduring changes in behavior can be achieved by gradually
reducing the frequency or magnitude of reinforcement; by shifting the
locus of reinforcement from transitory change agents to favorable con-
tingencies existing within the person's social milieu; and by altering the
form of the events that assume reinforcing functions. Thus arbitrary
extrinsic incentives, which may be necessary during early stages of treat-
ment, can be gradually withdrawn and replaced by symbolic cues
signifying performance achievements coupled with self-evaluative and
other self-reinforcing consequences. As such stimulus events which are
more intrinsically related to performances acquire reinforcing capacity,
personally valued patterns of behavior can be self-maintained with
minimal external support.
Changes effected in social response patterns can be widely general-
ized bv conducting treatment within natural social contexts, by directly
modifying the reinforcement practices of persons who normally exercise
some control over the crucial behavior, and by varying systematically the
stimulus conditions under which the behavior is established.
Results of myriad projects in which requisite conditions are ade-
quately arranged demonstrate that contingent reinforcement can be a
highly effective means of establishing and modifying diverse classes of
response. This is most impressively revealed by studies in which tenacious
deviant behavior is successively eliminated and reinstated by varying its
social consequences. Such powerful replicative control over behavior not
only has considerable therapeutic significance, but accents the influential
role played by environmental contingencies in the regulation of behavior
284 POSITIVE CONTROL

disorders: Conditions which are usually attributed to complex internal

determinants presumed to be operating largely at an unconscious level
respond in orderly fashion to external control.
In recent years there has been increased recognition that most social
problems must be treated primarily at the social-systems rather than at
the individual level. Therefore, considerable importance is attached to
extensions of reinforcement procedures demonstrating that widespread
changes in attitudes and behavior can be achieved by applying organiza-
tional contingencies to members of a given group. Interdependent con-
tingency systems, in which the outcomes for individual members are
dependent upon the composite group performance rather than their own
attainments, have also been successfully employed to increase the pro-
ductivity and level of mutual support, responsibility and cohesiveness in
social groups. Double reinforcement contingencies in which individuals'
outcomes are jointly determined by the nature of their own contributions
and by the group's overall performance are likely to produce the most
socially productive functioning.
Although behavior can be effectively controlled bv varying its positive
consequences, negative sanctions arc commonly employed, particularly
in efforts to reduce deleterious response patterns. The processes involved
in aversive control are reviewed next.

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CHAPTER 5 Aversive Control

Negative consequences are widely used to modify behavior, but

such practices are generally disavowed. There are several reasons, some
rationally grounded and others unwarranted, why punishment is regarded
with disfavor. One of the principal objections to aversive control stems
from the widespread belief that internal, and often unconscious, forces
are the major determinants of behavior. From this perspective, punish-
ment may temporarily suppress certain expressions but the underlying
impulses retain their strength and press continuously for discharge
through alternative actions. Moreover, when punishment is described in
behavior theory as having inhibitory or suppressive effects, it also carries
the implication that nonexpressed response tendencies remain active at a
covert level and, therefore, require continual counteraction.
Both the immediate and long-term effects of negative sanctions are
viewed with a less jaundiced eye when behavior is assumed to be largely
determined by its consequences. As long as a given response pattern
creates aversive outcomes of sufficient strength to override the effects of
other maintaining conditions, it will not be utilized. If more effective
means of securing desired outcomes are developed during this period, the
behavioral changes initiated through punishment endure after the aver-
sive contingencies have been discontinued. Thus, for example, if competi-
tive behavior is rendered nonfunctional by arranging adverse conse-
quences while cooperativeness proves more rewarding, competitiveness
will eventually be abandoned without any internal energy strains. When
the person is behaving cooperatively it does not mean that he is actively
suppressing a simultaneously aroused competitive response, any more
294 AVERSIVE CONTROL

than a person who is sitting is continually subduing a standing response

that is simultaneously pressing for expression.
The use of aversive control is also frequently questioned on the
grounds that it produces a variety of undesirable by-products. This con-
cern is warranted, as we shall see later. Many of the unfavorable effects,
however, that are sometimes associated with punishment are not nec-
essarily inherent in the methods themselves but result from the faulty
manner which they are applied. A great deal of human behavior is, in
in
fact, modified and closely regulated by natural aversive contingencies
without any ill effects. On the basis of negative consequences people
learn to avoid or to protect themselves against hazardous falls, flaming or
scalding objects, deafening sounds, and other hurtful stimuli; they change
their clothing to remain comfortable in sweltering or frigid temperatures;
and they engage in a considerable amount of behavior that is supported
almost entirely by removal of irritants. In instances where certain activi-
ties can have injurious effects aversive contingencies must be socially ar-

ranged to ensure survival. Punishment is rarely indicted for ineffective-

ness or deleterious side effects when used, for example, to teach young
children not to insert metal objects into electrical outlets, not to cross busy
thoroughfares against red signal lights, nor to perform behavior that
would result in mutilation. Certain types of negative sanctions, if applied
considerately, can likewise aid in eliminating self-defeating and socially
detrimental behavior without creating any special problems.
Punishment is rarely employed as a sole method for modifying behav-
ior; but if it is used judiciously in conjunction with other techniques de-
signed to promote more effective response options, such combined proce-
dures can hasten the change process. In addition, aversive consequences
are frequently used to modify deviant behavior that is automatically self-

reinforcing upon occurrence and in eases where certain response patterns

must be brought rapidly under control because of their injurious effects
upon the performer or other persons.
The negative consequences may involve either the removal of posi-
tive reinforcers or the presentation of aversive stimuli. The events in the
latter category may take the form of physical punishment, shock stimula-
tion, unpleasant auditory feedback, or verbal reprimands. In the former
case response costs may be may be deprived of priv-
instituted or persons
and other positively reinforcing events
ileges, possessions, social contacts,
to which they are accustomed. Although both operations represent forms
of punishment, they not only have somewhat different effects on behav-
ior, but they may produce different side effects and contrasting reactions

toward prohibiting agents. Consequently, the research findings and ap-

plications of these two forms of punishment will be discussed separately.
Presentation of Negative Reinforcers 295

Presentation of Negative Reinforcers

Theories and research regarding punishment have been primarily con-

cerned with the extent to which response patterns can be removed
through direct administration of aversive stimuli. For obvious ethical rea-
sons studies of the behavioral changes produced by punishment of high
intensity or of long duration have been confined to infrahuman subjects.
Laboratorv investigations of the effects of punishment on humans typi-
cally employ either relatively weak physical stimuli or negative symbolic
consequences. In these studies punishment is applied either to responses
that are concurrently being maintained on an intermittent schedule of
positive reinforcement or to response patterns that are undergoing ex-
tinction.

THEORETICAL CONCEPTIONS OF PUNISHMENT EFFECTS

When aversive consequences follow upon any behavior, they gener-
ally produce a reduction or cessation of responsiveness. After the aversive
contingencies have been discontinued the behavior sometimes reappears,
suggesting that punishment suppresses response tendencies but does not
eliminate them. Under some conditions, however, punishment may pro-
duce enduring changes in behavior. As will be shown later, the degree to
which behavior is positively reinforced is one determinant of both the
reductive power of punishment and the extent to which punished re-
sponses are subsequently reinstated. In addition to the reward contingen-
cies maintaining the punished behavior, the effects of punishment may
vary considerably as a function of many other variables (Azrin & Holz,
1966; Church, 1963; Solomon, 1964 ) including the intensity, duration, fre-
quency, and distribution of aversive consequences; their temporal rela-
tion to the behavior to be modified; the strength of punished responses;
the availabilitv of alternative behavioral patterns that are positively rein-
forceable; the presence of discriminative stimuli that signify the proba-
bility that a given performance will result in adverse consequences; the
level of instigation toperform the negatively sanctioned behavior; and
The degree of control ex-
the characteristics of punishing social agents.
ercised by aversive outcomes over behavior in any particular case is,
therefore, highlv dependent upon a host of other operative variables in
addition to the punishment contingencies.
Several theoretical formulations have been advanced to account for
the varied behavioral effects produced by different types of punishment.
Conditioned emotionality theories (Estes, 1944), for example, primarily
attribute the effects of punishment to emotional reactions that are classi-
cally conditioned to environmental stimuli during the course of aversive
296 AVERSIVE CONTROL

treatment. Later, exposure to the threatening situation generates emo-

tional arousal thatmay disrupt or inhibit responding. Major support for
thisview comes from countless studies demonstrating that behavior can
be suppressed by the presentation of environmental stimuli that had
been previously paired with aversive experiences. The theory of pun-
ishment advanced by Mowrer (1960) assumes that negative emotions are
conditioned not only to environmental stimuli but also to proprioceptive
cues generated by the punished behavior itself.
According to competing-response interpretations (Guthrie, 1935),
punishment produces behavioral changes by eliciting incompatible re-
sponses in the presence of cues that formerly controlled the punished
behavior. Competing responses presumedly are directly conditioned by
contiguity to stimuli present at the time of punishment. The generalitv
of this nonmediational explanation is most seriously challenged by results

of experiments in which previously neutral stimuli are endowed with

response-inhibiting properties under conditions where animals are skele-
tally immobilized by curare to prevent motor responding (Rescorla &
Solomon, 1967). Nevertheless, in ordinary circumstances punishment
activates instrumental responses as well as fear; consequently, punish-
ment can produce markedly different behaviors under similar levels of
emotional arousal depending upon the types of responses that it originally
evoked (Bolles, 1967). The same punishing stimulus may thus accelerate
or retard performance of the same' behavior depending upon whether
it is applied in such a way as to evoke responses that are compatible or
in conflict with the ongoing activities (Fowler & Miller, 1963).
Whereas the preceding theory construes punishment effects in terms
of competing associative learning, avoidance conditioning explanations
(Dinsmoor, 1954) emphasize the reinforcing consequences that are pro-
duced by, and serve to maintain, incompatible behavior. To the extent
that withdrawal, avoidance, and response inhibition provide relief from
disturbing stimulation the behavior is thereby reinforced.
The above-mentioned theories emphasize the motivating, reinforcing,
and response-eliciting capacity of punishment. On the other hand, dis-
crimination hypotheses (Holz & Azrin, 1961, 1962) highlight the informa-
tive function of punishing events. The inhibitory effects produced
through vicarious punishment, for example, result in large part from the
information conveyed to observers that certain tvpes of performances are
negatively sanctioned in particular situations (Bandura, 1965). The dis-
criminative properties of punishment are also clearly revealed by experi-
ments in which the temporal order of punishment, reward, and extinction
are systematically varied. Severe punishments that regularly precede re-
ward come to signal positive reinforcement and accelerate responding;
conversely, otherwise weak and ineffective punishments that precede the
Presentation of Negative Reinforcers 297

removal of rewards decrease responding. Similarly, punishments that

initiate a period of relief from further painful stimulation become safety
signals that lead to increased responsiveness (Hendry & Van Toller,
1964).
Further evidence of the way
in which punishing stimuli can acquire
markedly different properties through their relation with other rein-
forcing events is strikingly demonstrated by Sandler and Quagliano
(1964). After monkeys learned to press a lever to avoid being shocked,
a second contingency involving self-administered painful stimulation was
introduced. A lever press prevented the occurrence of the original shock,
but it also produced an electric shock of lesser magnitude. As the experi-
ment progressed the self-administered shock was gradually increased
until it equalled the aversive stimulus being avoided. However, the ani-
mals showed no reduction in the frequency of self-punishing lever-press-
ing responses though this behavior no longer served as a "lesser of two
evils." Even more surprising, after the avoided shock was completely

discontinued but lever-pressing responses (which had now become ob-

jectivelv functionless ) still produced painful consequences, the animals
continued to punish themselves unnecessarily with shock intensities that
they had previously worked hard to avoid. Anyone observing the need-
less self-injurious behavior of these animals without knowledge of their
prior learning history would undoubtedly be baffled by their tenacious
"masochism."
Findings of a study by Ayllon & Azrin (1966) identify conditions
under which a formerly punishing stimulus can not only maintain re-
sponding through its informative value, but also serve as a positive rein-
forcer to strengthen new performances. After white noise completely
suppressed a rewarded response in chronic schizophrenics, the white
noise was then intermittently paired with tokens having reward value.
Later, contingent noise alone maintained several thousand responses
on a new task. The preceding experiments illustrate how punishing
events can achieve enduring reinforcing functions that become dis-
sociated from the original conditions of reinforcement. The resultant self-
punitive behavior, whether maintained through fear of threats that no
longer exist or by anticipation of occasional rewards that are no longer
forthcoming, is clearly inappropriate if viewed in terms of objective
reality.
In the material presented above we reviewed separately the various
effects that punishing stimuli can have on behavior. Most theorists sub-
scribe to a multi-process conceptualization of the manner in which pun-
ishment achieves reductive effects and the factors that govern any subse-
quent recovery of punished responses. According to this view, painful
stimulation produces both generalized emotional arousal and escape-
298 AVERSIVE CONTROL

withdrawal responses, which are usually incompatible with and, there-

fore, capable of replacing the ongoing behavior. Any environmental
stimuli and responses that regularly precede or accompany the aversive
experiences acquire, through their contiguous association, the capacity
to arouse emotional reactions for some time after punishment has been
discontinued. In addition to emotional conditioning, any responses that
successfully terminate or avoid aversive stimulation are instrumentally
reinforced. The punished responses remain suppressed as long as the
threatening events maintain their capacity to generate prepotent fear
reactions and incompatible avoidance behavior. This period provides the
opportunity for other modes of behavior to be established which, if
sufficiently strong, will permanently supplant punished response tenden-
cies. However, in the absence of adequately rewarded alternatives, after

punishment has been discontinued, the aversive properties of the main-

taining stimuli may be extinguished through either repeated exposure to
fear-provoking situations or elicitations of partially suppressed responses
without adverse consequences, by observation of nonpunished perform-
ances, or by other informative means. Under these types of conditions
inhibited behavior will eventually reappear.

LOCUS OF AVERSIVE CONTROL

As noted in the preceding discussion several alternative interpreta-
tions have been proposed concerning the source of the controlling stimuli
for inhibitory processes created through punishment. According to one
explanation, control primarily resides in environmental stimuli. That is,
if a person regularly undergoes punishing experiences in a particular

situation, the environmental cues, through their endowed emotion-pro-

voking properties, produce either generalized suppression of behavior,
avoidance of the threatening situational events, or activities designed to
prevent their recurrence.
A second interpretation assumes that aversive control resides in the
punished behavior itself. When punishing consequences are made con-
tingent upon the occurrence of certain tvpes of responses, it is assumed
that proprioceptive cues accompanying the responses acquire the ca-
pacity to arouse conditioned emotional reactions. Aversive stimulation
generated by initiation of previously punished behavior prevents com-
pletion of the action sequence. Response inhibition is believed to be
reinforced by the termination of response-produced emotional arousal.
Thus, in the latter case, individuals learn to avoid self-generated distress
by suppressing the negatively valenced behavior.
A number of investigators have compared the suppressive power of
punishment when administered either on a response-contingent basis
it is

or in conjunction with specific environmental stimuli independently of

Presentation of Negative Reinforcers 299

the ongoing behavior. These studies reveal that both types of aversive
contingencies decrease responding, but there is disagreement as to which
method produces greater behavioral suppression. In the original experi-
ment, Estes (1944) found that animals which had been shocked only at
times when they were not engaging in lever-pressing behavior displayed
essentially the same degree of suppression and subsequent recovery of
lever-pressing responses as subjects whose punishment was strictly con-
tingent upon the occurrence of the response. In a further test of whether
suppressive effects are governed bv environmental stimuli or response-
produced cues, animals whose lever-pressing responses had been pun-
ished were left in the situation for an adaptation period with the lever
removed. This arrangement prevented elicitation of the punished re-
sponse but permitted the neutralization of threatening situational cues.
A subsequent test for extinction revealed that mere re-exposure to the
fear-provoking situation with no further unpleasant experiences resulted
in almost complete extinction of conditioned suppression. The findings of
this study thus suggested that internal cues accompanying the punished
response exercised relatively little influence upon the inhibitory process.
Hunt & Bradv (1955) extended the above research in a comparative
study of the influence of response-contingent and stimulus-correlated
punishment upon the acquisition, generalization, and extinction of condi-
tioned suppression of responses that were intermittently rewarded. For
subjects in the stimulus group, shocks were contiguously associated with
a tone, but lever-pressing responses were never punished; on the other
hand, in the response condition, the tone was presented and animals
were shocked only when they pressed the lever in the presence of the
auditory stimulus. Both procedures resulted in almost complete response
suppression whenever the tone was presented. The method designed
specifically to endow the environmental cue with aversive properties,
however, produced greater emotional disturbance, and greater general-
ized inhibition thatwas more resistant to extinction. Essentially identical
results were obtained in an earlier study (Hunt & Bradv, 1951) even
though subjects in the response-contingent treatment received more
shocks. In a well-designed experiment that equated for the number and
temporal distribution of shocks, Hoffman & Fleshier (1965) found that
animals that were punished only if they responded in the presence of
certain cues displayed less behavioral suppression and extinguished more
rapidlv than their counterparts that were punished during presentations
of the same cues without regard to their behavior. The foregoing results
thus provide evidence that, under certain conditions, inhibitions are
primarily situation- rather than response-bound.
At variance with the above conclusion, Azrin (1956) found that
response-produced punishment was considerably more effective than
300 AVERSIVE CONTROL

noncontingent aversive stimulation in suppressing rewarded behavior.

Azrin attributes the conflicting results to the fact that subjects in his
experiment received severe shocks over an extended time, whereas previ-
ous studies had employed relatively brief periods of punishment. This
interpretation does not fully explain the diverse results, because Boe &
Church ( 1967 ) report that response-contingent punishment is more sup-
pressive than noncontingent shock even when administered during a
brief period. Moreover, Camp (1965), employing a wide range of shock
found that the suppressive effects of response-contingent pun-
intensities,
ishment were greater than the inhibitory effects of noncontingent pun-
ishment, but the differences between the two procedures were relatively
small.
Response inhibition is be highly situation-bound when
most likely to
aversive experiences occur repeatedly in the same setting. If, on the
other hand, selected responses are punished in the presence of specific
stimuli but incur no negative consequences within the same environment
when other factors are absent, then omnipresent stimuli are less likely
to become endowed with strong suppressive power. Under natural con-
punishment is seldom contingent upon behavior alone;
ditions, of course,
nor are people invariably punished in certain situations. Rather, the same
behavior may be permissible or punishable in the same settings depend-
ing upon the person toward whom the behavior is directed, the role
occupied by the performer, the time and specific circumstances under
which the behavior is exhibited, the instigating conditions, and many
other factors.
Peripheral theories of response inhibition that emphasize skeletal re-
sponding and its attendant proprioceptive feedback cannot adequately
account for the highly discriminative manner in which the same responses
are freely performed or suppressed under slightly differing circumstances.
Regulation of human behavior on the basis of punishing experiences is
undoubtedly mediated to a considerable degree through central mecha-
nisms. The major theoretical issues and supporting evidence concerning
symbolic control of responsiveness, which constitutes a third locus of
aversive control, is presented in the final chapter of this book. This view
assumes that, on the basis of information conveyed through prior response
consequences experienced in conjunction with different situational, tem-
poral, and social cues, individuals infer the probability that a given course
of action will be ignored, rewarded, or punished. Behavior is then partly
guided by anticipatory consequences that are svmbolically produced.
That is, anticipatory aversive consequences will have response-inhibiting
whereas anticipation of rewarding outcomes will facilitate per-
effects,

formance of the same behavior. In addition to the influence of expectant

Presentation of Negative Reinforcers 301

outcomes, self-evaluative consequences also figure prominently in the

self-regulation of behavior.
A number of studies employing punishing operations have been con-
ducted with children in an effort to elucidate internalization processes.
In a comprehensive monograph, Aronfreed (1968) conceptualizes in-
ternalization as essentially a process in which aversive or pleasurable
affective states become attached cues and
to both response-produced
their cognitive representations. This outcome is presumably achieved on
the basis of classical conditioning of anxiety to the proprioceptive stimuli
inherent in the action itself and, through the temporal gradient of rein-
forcement, to its behavioral and cognitive precursors. Thereafter, stimuli
accompanying preparatory movements, or even intentions, arouse anxiety
which in turn prevents further responding. Behavioral suppression is self-
reinforced by the resultant reduction in anxiety. Thus, according to this
view, behavior becomes internalized or self-maintained when changes
in affective states, which constitute intrinsic reinforcing consequences,
are mediated by response-produced cues.
Empirical tests of the affective feedback theory of internalization
have primarily investigated behavioral suppression as a function of
timing of punishment. In the typical experimental paradigm, on each
of a series of trials children are asked to choose between a highly attrac-
tive tov and one which is relatively uninviting. In one condition the ex-
perimenter verbally reprimands children as soon as they make a motion
toward the attractive tov; in other treatments children are verbally
rebuked only after they have picked up the tov and handled it for vary-
ing periods of time. In the test for internalized behavioral suppression
children are presented with a highly attractive and an uninteresting toy
and it is noted whether or not thev touch the attractive object during
the experimenter's absence. The rationale for selecting the temporal vari-
able is that punishment at the initiation of a transgression is expected to
attach maximal anxiety to cues that accompany preparatory responses;
as a result, behavior is suppressed in its earlv stages. On the other hand,
if punishment is administered following transgression, anxietv and its

attendant inhibitory responses are not evoked until after the disapproved
act has been completed.
Before evaluating the main findings of these studies it should be
noted that tests of internalized behavioral control typically involve so
many external stimulus supports that response suppression cannot be
attributed solelv to intrinsically mediated consequences. Post-training
measures of self-control are characteristically obtained by the same ex-
perimenter, during the same experimental session, in the same experi-
mental room, in which children are presented either identical or similar
302 AVERSIVE CONTROL

stimulus objects possessing the same relational properties as the stimuli

utilized during training. Although the punishing agent absents himself
from the room, nevertheless many controlling external cues remain. It
would, in fact, be of interest to study the progressive decrease in self-
controlling responses as progressively more cues common to the punish-
ment removed.
situation are
Results of several experiments based on this procedure (Aronfreed,
1968; Aronfreed & Reber, 1965; Benton, 1967; Walters, Parke, & Cane,
1965) show that children who have been punished early in the response
sequence deviate less frequently than children punished only after com-
pletion of the transgression. Moreover, the longer that punishment is
withheld while children are engaging in the deviant behavior, the weaker
the subsequent behavioral suppression. These findings have been inter-
preted as providing strong evidence that behavior is regulated bv affective
consequences conditioned to sequential intrinsic stimulus correlates of a
punished act. Results of animal experiments investigating the effects of
delay of punishment on resistance to temptation (Solomon, Turner, &
Lessac, 1968) are also frequently cited as corroborating the intrinsic
mediation of behavioral suppression.
Findings yielded by the timing-of-punishment experiments cannot be
meaningfully interpreted with respect to the affective feedback hy-
potheses because, among other methodological problems, the timing
manipulations involve a confounding of variables. In the early punish-
ment condition transgressive behavior produces only punishment,
whereas in delayed conditions the behavior receives both immediate
reward and subsequent punishment. The suppressive effect of instant
reward followed some time later bv punishment is much weaker than
punishment alone. In the study conducted by Solomon, for example,
food-deprived puppies that were swatted by the experimenter as they
touched forbidden food exhibited stronger resistance to deviation than
puppies that were punished shortly after they had begun to consume the
palatable horsemeat. The difference in response inhibition, which has
been often attributed bv other authors to the attachment of anxiety at
different points in the sequence of response-produced cues, simply
demonstrates that a response is more effectively inhibited bv punishment
alone than if it is initially rewarded and then punished. Confounding of
reward and punishment effects, as Solomon points out, is advantageous
for understanding natural socialization practices, but the data are of
limited value for elucidating intrinsic conditioning processes.
It is likewise difficult to ascertain whether similar differences obtained
in investigations cited earlier derive from sequential aversive conditioning
of response-produced cues, or from the fact that in late-punishment con-
ditions children are rewarded by being allowed to play briefly with a
Presentation of Negative Reinforcers 303

highly attractive toy before the reprimand is administered. As might be

expected from the response-enhancing effects of positive reinforcement,
the longer children are allowed to engage in the rewarding transgressive
behavior the weaker is the subsequent punishment. On the other hand,
when children are punished almost immediately upon committing the
deviant act Parke & Walters, 1967; Walters & Demkow, 1963 ) differences
( ,

in response suppression between early-punished and late-punished sub-

jects become quite small and, for the most part, statistically insignificant.
The have been attributed to insufficient separation
latter negative results
of sequential stimulus components in early- and late-punishment condi-
tions, but an alternative interpretation may be cast in terms of curtail-
ment of confounding rewarding effects which occur under delayed pun-
ishment.
It also seems highly probable that a person who reprimands a child

even before a deviant act actually occurs would be viewed as consider-

ably more forbidding and punitive than one who shows no disapproval
until after the child has engaged in the transgressive behavior for some
time. Indeed, in the latter case, the disciplinarian must appear to be a
more lenient, or at least an inconsistent, person. Early-punished children
may therefore be reluctant to transgress not because of attachment of
affective states to incipient response-produced cues, but rather due to
stronger anticipatory fears evoked cognitively by the stricter discipli-
narian.
In addition to the methodological problems considered above, the
type of discrimination task employed in most timing-of-punishment ex-
periments is not the most suitable one for determining the extent to which
response suppression is mediated by its proprioceptive cues. This is be-
cause selection of both attractive and unattractive objects involves virtu-
ally identical reaching responses, and therefore arousal of the same pat-
tern of interoceptive stimulation. Consequently, to the extent that anxiety
is conditioned to cues inherent in the response itself, the act of reaching
for the unattractive object should be equally suppressed. Demonstration
of proprioceptive stimulus control of behavior would require subjects to
make producing dissimilar patterns of internal
distinctive responses, each
stimulation which would have been associated with differential conse-
quences. Moreover, in order to assess what contribution, if any, is made
by proprioceptively aroused affects to response suppression, it would be
necessary to measure the independent effects of cognitive discriminations
and symbolically generated affective consequences. By analogy with the
timing-of-punishment experiments, a person reaching for a repulsive snake
and for a savory dessert would in all likelihood experience aversive and
pleasurable emotional states, respectively. Since, however, the reaching
responses in both instances produce essentially identical patterns of in-
 —

304 AVERSIVE CONTROL

teroceptive stimulation, the resultant affective states must be centrally,

rather than peripherally, mediated.
For reasons given above it is doubtful that timing-of-reinforcement
paradigms can provide decisive evidence concerning sensory feedback
theories of internalization. However, curare conditioning experiments
in which animals are skeletally immobilized during aversive conditioning
—
or extinction conducted by Solomon and his associates (Black, 1958;
Black, Carlson, & Solomon, 1962; Solomon & Turner, 1962), shed consid-
erable light on the issue of central or peripheral mediation of inhibitory
response tendencies. The findings demonstrate that conditioned emotional
responses can be readily acquired and extinguished independently of
skeletal responding and its correlated proprioceptive feedback. It would
appear from the overall findings of the series of curare experiments that
when approach responses toward certain discriminable stimulus objects
are undergoing punishment, the external stimuli also acquire the capacity
to elicit conditioned emotional responses which can, in turn, control in-
strumental responses quite independently of response-correlated feedback
mechanisms.
The role of central processes in behavioral inhibition could be estab-
lished through traditional procedures by including training conditions in
which subjects merely verbalize their object choices and are punished
whenever they elect disapproved items without performing any reaching
responses. If children in these conditions displayed a degree of response
suppression equal to that of subjects whose motor choice responses were
punished, then the findings would indicate that proprioceptive feedback
does not enter into the regulatory process.
This issue can also be easily investigated by comparing the inhibitory
effects of punishment when administered to the responding as opposed
to the nonresponding part of the body. In an experiment reported by
Kaufman 1964 ) adults participated in a series of sessions that consisted
( ,

of alternating periods of punished and unpunished responding. In half the

punishment periods shock was delivered to the performing hand, while
in the other half the nonresponding hand was shocked. At low and high
intensities, variations in the locus of punishment had no differential effects,
but at moderate intensities shock applied to the responding hand pro-
duced slightly more suppression. Some further evidence that response in-
hibition is primarily a cognitively controlled phenomenon is that under
severe punishment subjects completely suppressed responding but the
same responses were performed at a stable high rate during nonshock
periods in the same session.
Another effective means of assessing whether response-produced cues
assume controlling functions through affective conditioning is to include
observing partners in punishment paradigms. This procedure was, in fact,
Presentation of Negative Reinforcers 305

employed by Benton (1967). While groups of children were verbally

reprimanded for either approaching or handling tabooed toys in a two-
choice discrimination task, their matched partners simply observed the
punished performances. In a subsequent test for transgression, the ob-
servers showed the same amount of response inhibition as the performers
whose motor responding was repeatedly punished.
In Aronfreed's (1968) theory of internalization, affective states be-
come affixed not only to proprioceptive cuesbut also, through backward
generalization, to intentionsand cognitive representations of the punished
act. No empirical investigations have as yet been conducted in which ver-
balized intentions alone are punished. However, there is some evidence,
which is reviewed in Chapter 8, demonstrating that punishment of imaginal
representations of deviant sexual activities is associated with a reduction
in the corresponding behavior. Aronfreed has shown that if during pun-
ishment children are informed that selection of the forbidden attractive
toys is disapproved because their functions are difficult to describe and
they are therefore only appropriate for older children, subjects are later
less inclined to violate the prohibition. It is difficult to evaluate without
additional assessments whether such instructions facilitate compliant be-
havior because they "inject a cognitive structure" or for other reasons. One
might expect, for example, punishments that are arbitrarily administered
to generate more resentment and oppositional behavior than when the
basis for the negative sanctions is considerately explained (Pastore, 1952).
Under conditions where the basis for punishment is prominently con-
veyed by the physical attributes of the forbidden objects, the role of cog-
nitive functions is considerably reduced. On the other hand, when the
factors determining whether given performances will incur punishment
are complex and not easily distinguishable, statement of the contingency
rules governing punishment would be expected to facilitate self-regula-
tion of responsiveness.
In evaluating the role of cognitive processes in behavioral control it

is between the effects of cognitive representation

essential to distinguish
of responses themselves and symbolically generated anticipatory conse-
quences. In theories assuming that emotion-arousing properties are di-
rectly conditioned to responses, the initiation of negatively valenced be-
havior or its cognitive equivalents is presumed automatically to evoke
negative affects that actuate response inhibition. An alternative concep-
tualization of the control mechanisms is that performances are internally
regulated not by emotions directly affixed to the behavior but rather by
anticipated aversive consequences. Given different expected outcomes,
the same behavior may be inhibited or freely expressed, which could not
occur if emotional arousal were directly response-cued.

Several studies that have been conducted within the framework of

306 AVERSIVE CONTROL

dissonance theory also raise an issue that is relevant to aversive control.

It is assumed in this formulation that if a person is provided with insuf-
ficient justification for his behavior, the resultant inconsistent cognitions
generate an aversive state that can be reduced by, among other means,
devaluating the activity. When
an individual refrains from transgressing
because of a severe threat, he presumably has adequate excuse for his
compliant behavior and, therefore, continues to value the tabooed activi-
ties highly. On the other hand, if he displays response inhibition follow-

ing a mild threat, he may, to eliminate disturbing dissonance created by

the incongruous behavior, convince himself that the desired objects are
less worthwhile.
Aronson & Carlsmith ( 1963 ) tested the above notion bv having
children rate their second-ranked tov after each of three interventions.
In the phase involving mild threat the experimenter informed children
that he would be annoyed if they played with the forbidden toy; in the
strong threat condition children were told that if they played with the
toy the experimenter would be very angry and that he would take all his

toys,never to return again; while in the control phase, the experimenter

simply removed the crucial tov to determine whether its value may be
enhanced by being singled out for attention. Both threats produced com-
plete behavioral compliance' in all children, suggesting that the presence
of other attractive toys, including the unprohibited most preferred item,
greatly weakened instigation to transgression. With respect to toy prefer-
ences, following mild threat 36 percent of the children decreased their
liking for the forbidden tow whereas none of the children decreased their
rating of the tabooed object following severe threat or physical removal
of the items. Although threats varying in severity affected preference
ratings, it remains to be demonstrated whether one could produce neg-
ative valuations of desired activities bv threats alone, regardless of their
severity.
Punishment is usually applied with the intent of creating behavioral
controls that will endure in appropriate situations even when punishing
agents may no longer be present. Preference changes alone are therefore
of limited significance unless it is also demonstrated that such changes
influence subsequent self-controlling behavior. In a well-designed experi-
ment by Freedman ( 1965 groups of children were threatened with ei-
)

ther mild or severe punishment for touching an attractive but forbidden

toy. Half the subjects in each treatment were provided with a brief pe-
riod free of surveillance during which they could transgress without risk
of punishment, whereas the prohibiting experimenter remained in the
room with the other half of the subjects. Virtually none of the children
in any of the groups violated the prohibition. Immediately after the ses-
sion they re-rated their liking for the different toys and, approximately a
Presentation of Negative Reinforcers 307

month they were given an opportunity under permissive conditions

later,

to play with the forbidden object. Transgressive behavior was lowest

among children who received the mild threat and refrained from deviat-
ing in the absence of social surveillance. Children who were threatened
with severe punishment and complied in the absence of the experimenter
were more inclined to handle the previously forbidden toy and did not
differ in this respect from subjects in the condition combining low threat
and social surveillance. The results are somewhat difficult to explain in
terms of dissonance reduction because, contrary to expectation and the
findings of Aronson & Carlsmith, the forbidden toy was not devalued
any more under mild sanctions than under threats of severe punishment.
The author interprets the discrepant findings as indicating that subjects
did not select devaluation of the forbidden object as the principal means
of dissonance reduction in this particular experiment. This explanation
may have some but it raises questions as to whether the hypothe-
validity,
sized dissonance processes could ever be refuted empirically.
Results of the preceding study differ from a large body of evidence
based on experiments with animals (Azrin & Holz, 1966; Church, 1963),
children (Parke & Walters, 1967), and adults (Powell & Azrin, 1968;
Rotenberg, 1959) demonstrating that the degree of response reduction is
an increasing function of the intensity of punishment. Mild punishment
generally produces little change in positively reinforced performances; at
intermediate levels aversive consequences have partially suppressive ef-

fects; while intense punishment typically results in large and stable reduc-
tions in behavior.
The conflicting evidence may be interpreted in several ways. In the
above experiments, punishing consequences were actually administered
contingent upon occurrence of transgressive behavior, whereas the dis-
sonance studies involved a single verbal threat of punishment. A second
and more critical difference concerns the type of behavior that is being
controlled. In the dissonance paradigm approach responses are inhibited
toward one of several positive alternatives. Under these advantageous
conditions the instigation to transgression is apparently so weak that a
mild verbal threat is sufficient to produce compliance in all subjects re-
gardless of whether the prohibiting agent is present or absent. Given a
response tendency of any strength, transgressive behavior is ordinarily
performed more frequently in situations free of social surveillance than
when the disapproving agent is physically present (Hicks, 1968). By
contrast, in studies of aversive control investigators either select responses
that are highly resistant to change, or the behavior to be eliminated is

increased in strength and concurrently maintained on a favorable sched-

ule of positive reinforcement. It is precisely under these types of circum-
stances that the punishment is employed in everyday life. In applications
308 AVERSIVE CONTROL

of aversive procedures one would employ the minimum negative sanc-

tions needed adequate behavioral control. Thereafter, control
to achieve
is usually maintained by occasional negative consequences in weaker and

largely symbolic forms.

POTENTIAL PROBLEMS ARISING FROM AVERSIVE CONTROL

Because of the varied and complex effects of punishment, aversive
control, particularlywhen socially mediated, must be employed with care
and skill in programs of behavioral change. Many of the undesirable con-
sequences that may accompany punishment are to some extent prevent-
able. Some of these common by-products, and ways of minimizing them,
are discussed next.

Generalization of Conditioned Inhibition. Punishment is most often

employed to reduce the incidence of recurrent disturbing patterns of be-
havior. The effects of aversive consequences, however, are not specifically
confined to the responses that are negatively sanctioned. Severe punish-
ments, particularly if applied oxer a long time, can result in broad gen-
eralization of suppressive effects to socially desirable patterns of behavior.
Thus, for example, repeated harsh punishment of aggression may not only
eventually eliminate the troublesome behavior, but
1 1
stifle assertiveness as
well. The extent of generalized inhibition arising from contingent pun-
ishment varies inversely with the degree of similarity of the new situations
to those of the original aversive training (Desiderato, 1964; Hoffman &
Fleshier, 1961; Honig & Large segments of behavior are
Slivka, 1964).
therefore most likely to be adversely affected under conditions where
punishment contingencies are ambiguous, or where the negative sanctions
are applied to a wide range of social responses in diverse settings.
Although at first conditioned inhibition transfers broadly, if further
punishment is discontinued the generalization gradient gradually narrows
until eventually the subject suppresses responding only to the stimulus
context in which his behavior was punished. Nevertheless, a study by
Hoffman, Fleshier & Jensen (1963) suggests that some aftereffects may
persist. When animals were subjected to unrelated emotional stress three
years after behavioral suppression was almost completely extinguished,
the animals again exhibited substantial inhibition in the presence of the
formerly aversive stimuli. These cues not only partly regained, under
general emotional arousal, their previous capacity to suppress behavior,
but the original conditioned stimuli retained increased potency for some
time after tennination of the stress condition. Evidently, punishments
administered at an early period may sensitize the organism to formerly
aversive stimuli so that their suppressive power is easily reinstated, at
least temporarily, by stressful experiences arising from other sources.
Presentation of Negative Reinforcers 309

450 670 900 1000 1100 1500 2300

Frequency (CPS)

Figure 5-1. Generalization of response suppression exhibited by subjects after

discrimination training during which a 1000 cps tone was paired with shock
but a 900 cps tone was never accompanied by shock. A ratio of 1.0 indicates
complete suppression. Plotted from data of Hoffman & Fleshier, 1964.

Inappropriate or excessive generalization of inhibitions and sensitivi-

tiescan be easily prevented by the use of discrimination procedures, as
demonstrated by Hoffman & Fleshier ( 1964 ) During the development of
.

conditioned suppression animals were punished for responding in the

presence of a 1000 cycles per second (cps) tone, but response to the ad-
jacent 900 cps tone was never accompanied by shock. Subsequent tests for
generalization revealed that, whereas generalization tones at or above
1000 cps had strong suppressive effects, the discrimination training pro-
duced very little behavioral inhibition to stimuli on the lower side of the
gradient (Figure 5-1). Moreover, when the animals were placed under
emotional stress after inhibitions were largely extinguished, response sup-
pression was markedly enhanced in the presence of 1000 cps and louder
tones, but rate of responding to auditory stimuli of 900 cps or lower re-
mained essentially unaffected. As depicted graphically in Figure 5-2, dis-
crimination procedures both sharply curtailed the spread of inhibitory
effects and prevented certain generalized stimuli from acquiring and
retaining latent suppressive power that could subsequently be reinstated
by unrelated stressful experiences.
It would follow from the above findings that a change agent who

wishes to restrict the range and direction of behavioral suppression should

not merely apply negative sanctions to undesirable response patterns but
should also arrange different consequences for related forms of behavior
in different social contexts.For instance, physically assaultive behavior
may be punished but desirable assertiveness rewarded. In addition to
selective reinforcement, discrimination is greatly facilitated by the use of
310 CONTROL

1.0

0.9

0.8

.2 0.7 ^*- Stress - induced

* gradient
* 0.6 -
c

1 ° 5
CD
5.0.4
Q.

w 0.3
. /^— Pre -stress
0.2 gradient
Y
-

0.1

0.0 I l l I I l

450 670 900 1000 1100 1500 2300

Freqi ency (CPS)

Figure 5-2. Effects of emotional stress on the generalization of response sup-

pression produced by prior discrimination training. A ratio of 1.0 represents
complete suppression. Hoffman & Fleshier, 1964.

verbal aids. By clearly labeling the modes of behavior that are permissible
and those that are punishable, and by specifying the times and places at
which certain courses of action are appropriate or unsuitable, greater
specificity of punishment effects can be ensured.

Emotional Conditioning. Another possible accompaniment of aver-

sive control,which has been discussed at length in earlier sections, is the
capacity of punishment to endow formerly neutral stimulus events with
emotion-provoking properties. Any behavior that serves to avoid, remove,
or postpone threatening stimuli reduces emotional distress and is thereby
automatically reinforced even though the punishment contingencies may
no longer be in effect. These inadvertently established fear elicitors often
give rise to avoidant patterns of behavior capable of creating their own
maintaining conditions. The resulting avoidant responses may be more
socially undesirable than the behavior that punishment was originally in-
tended to reduce and, once established, they may be considerably more
difficult to eliminate.

As we shall see later, not all forms of punishment create conditioned

emotional arousal. Fear learning is most likely to accompany procedures

based on the social presentation of painful stimuli. Negative sanctions

involving chiefly the removal of positive reinforcers generally do not have
fear-arousing effects. By careful choice of punishment procedures one can
prevent or minimize the occurrence of undesirable emotional conditioning.

Behavioral Inflexibility. In many instances change agents are faced

with the task of discouraging patterns of behavior that are not only per-
mitted but expected at some later period of life. Such problems are most
Presentation of Negative Reinforcers 311

likely to occur when marked discontinuities exist in cultural demands, as

in the case of sexual behavior. Thus, a child who has been severely pun-
ished for all expressions of sexual curiosity may be rendered anxious

about sex and remain sexually inhibited in later life when such behavior
is socially approved and expected of him. When marked temporal or sit-

uational discontinuities exist, the use of social training procedures that

result in rigid and inflexible behavior are contraindicated.
apparent from the results of an experiment by Whiting & Mowrer
It is

( 1943 ) that, depending upon the manner in which it is employed, pun-

ishment may be most efficient in inhibiting behavior at the expense of
later adaptability to changing circumstances. Using a socialization para-
digm, Whiting & Mowrer employed three methods to train animals to
select an effortful, circuitous route to food reward instead of a consider-
ably easier and direct path. Whenever the easy route was chosen during
training one group of animals encountered a physical barrier, the second
group was denied reward, while the third group was administered an
electric shock. The punished animals abandoned the short passage most
rapidly but they also persisted longest on the effortful tortuous route after
the original negative sanctions were removed. Lest the reader conclude
that behavioral rigidity is an unavoidable concomitant of aversive control,
it should be emphasized that punishment combined with discrimination

training would likewise have resulted in appropriately flexible responsive-

ness. If, for example, short cuts were shocked in the presence of a red
light, but rewarded whenever the light was absent, the animals would

undoubtedly have acquired discriminative inhibitions and reverted rap-

idly to the easy route after discontinuance of the socialization contingency
was signalled by permanent removal of the environmental cue signifying
punishment.
The transitory nature of behavioral suppression induced through pun-
ishment, frequently noted in laboratory studies, is not surprising in view
of the short periods during which punishment is typically applied. How-
ever, one finds limited but consistent evidence ( Solomon, 1964 ) that un-
der certain conditions even exceedingly brief punishment can result in
profound autonomic disturbances and lasting inhibitions. A few shocks
administered to an animal during a consummatory response may produce
extremely powerful feeding inhibitions ( Lichtenstein, 1950), often lead-
ing to self-starvation in the midst of plentiful food supplies ( Appel, 1961;
Masserman, 1943). The factors responsible for such extremely rapid and
enduring inhibitory learning have not as yet been identified, but the tim-
ing of punishment appears to be an influential variable. It is not possible,
from the limited data available, to determine whether the extraordinary
suppressive power of well-timed punishment is primarily confined to con-
summatory responses in subhuman species. One would need to exercise
312 AVERSIVE CONTROL

considerable caution in the use of aversive procedures if the latter phe-

nomena were replicated with instrumental behavior performed by hu-
mans.

Avoidance of Punishing Agents and Situations. With few excep-

tions, in laboratory investigations of punishment effects, animals are
confined to the apparatus or their freedom of movement is otherwise
physically limited so that no escape from the experimental situation is
possible. Nor are the subjects at liberty to choose whether they will re-
turn to situations in which their behavior is punished, or to cut short their
stay whenever they are displeased with inhospitable treatment inflicted
by their hosts. In naturalistic situations, however, persons can generally
avoid or restrict, to some extent, contact with punishing agents and social
settings in which negative sanctions are frequently applied (Azrin, 1958;
Powell & Azrin, 1968 ) For this reason, even if punishment proved to be
.

highly effective in controlling behavior, it might be of limited value under

circumstances where unpleasant events could be easily avoided.
The few studies permitting escape from situations containing some
aversive features reveal that subjects will repeatedly withdraw to non-
punitive situations even though the places of refuge are less rewarding
(Azrin, Halse, Holz, & Hutchinson, 1965), require greater expenditure of
effort for a given reward (Dardano & Sauerbrunn, 1964), or offer no posi-
tive reinforcement at all (Hearst & Sidman, 1961). Apparently with-
drawal from parti) aversive situations is sufficiently reinforcing to out-
weigh the effects of relatively unfavorable rewarding conditions brought
about by escape behavior. Punishments at relatively low intensities, al-
though ineffective in suppressing behavior, will nevertheless drive the
subject out of the situation (Azrin et al., 1965). This illustrates the limita-
tions of aversive controls when applied in the absence of constraints or
attractions to check withdrawal.
To the extent that negative sanctions foster fear and active avoidance
of change agents, their opportunities to influence the behavior of others
is reduced. This is a particularly serious hindrance when widespread
changes in attitudes and social behavior are brought about most effec-
tively through unforced modeling. With restricted social contact, there
can be little identificatory learning. It should not be assumed from these
comments that punishment invariably reduces spontaneous modeling. Ris-
ley ( 1968 ) has shown that in the case of children who are so preoccupied
with bizarre, self-injurious activities that they remain oblivious to social
stimuli, elimination of the hindering behavior through punishment in-
creases their attentiveness and responsiveness to modeling cues.
Escape tendencies can, of course, be counteracted to some degree by
Presentation of Negative Reinforcers 313

increasing the reward value of environments in which punishments are

periodically administered, and by enhancing the positive valence of
change agents. A
high level of positive reinforcement may create psy-
chological barriers against withdrawal so strong that persons will remain
in situations that have punishing aspects as well. It should also be noted
that punishment based upon removal of positive reinforcers, though tem-
porarily frustrating, nevertheless tends to maintain, and may even in-
crease, approach tendencies toward change agents.

Negative Modeling. In social applications of aversive control one

must also consider the modeling function of punishing behavior. In many
instances modeling cues furnished by disciplinary actions are inconsistent
with, and therefore contravene, the effects of direct training. If, for exam-
ple, a parent punishes his child physically for having struck a playmate,
the intended outcome of the punishment is that the child should refrain
from hitting others. Concomitantly with the intentional training, however,
the parent is unwittingly providing vivid examples of the very behavior
that he is attempting to reduce in the child. From fear of retaliation, the
child may not counter-aggress in his parent's presence, but he may never-
theless model his behavior after that of the parent when the child must
himself cope with or control the behavior of others.
Consistent with modeling theory, Hoffman (1960) found that mothers
who forced compliance with their demands through the use of power-
assertive techniques had children who exhibited aggressive power-asser-
tiveness in controlling the behavior of their peers. Although the direction
of the causal relationship cannot be unequivocally established from these
data, results based on laboratory studies Bandura, 1965 ) clearly demon-
(

strate that aggressive patterns of behavior can be readily transmitted

through adult modeling. In an experiment referred to earlier, Mischel &
Liebert (1966) found that negative sanctions imposed on children were
less effective when the agent's modeling behavior was inconsistent than
when the imposed and modeled standards of behavior were congruent.
These findings indicate that anyone attempting to control specific trouble-
some responses should avoid modeling punitive forms of behavior that
may not only counteract the effects of direct training but also increase
the probability that on future occasions the individual may respond to
interpersonal thwarting in an imitative manner.

EFFECTS OF PUNISHMENT ON CONCURRENTLY REINFORCED BEHAVIOR

Punishment is frequently resorted to as a method of social control

when the positive reinforcements maintaining troublesome behavior can-
not be identified, or, if known, cannot be readily modified. It is con-
314 AVERSIVE CONTROL

siderably easier, though less effective, for example, to punish the antiso-
cial behavior of delinquents than to remove the subcultural contingencies
that mold and control their actions.
In most of the research reviewed earlier, punishment was applied to
responses after the rewards maintaining them were removed, in order to
determine whether the addition of aversive consequences accelerated the
Of considerably greater significance are investigations
extinction process.
of the effects of punishment on behavior that is concurrently maintained
by positive reinforcement, since the response patterns that people fre-
quently attempt to modify result in some rewarding outcomes for the
performer. The available evidence generally indicates that punishment
does not have enduring reductive effects on behavior that is simultane-
ously being maintained by a favorable schedule of positive reinforcement.
Mild and moderately punishing stimuli typically reduce the occurrence
of intermittently reinforced behavior, but as punishment is continued
subjects adapt to the aversive consequences and exhibit some recovery
of responsiveness even while the punishment contingency is still in effect
(Azrin, 1959, 1960; Holz, Azrin, & Ulrich, 1963). Parents who make fre-

quent use of aversive controls would undoubtedly provide corroborative

testimonials that, after a time, their punishments cease to have much ef-
fect on their children's behavior.
Severe punishment produces marked reduction of intermittently re-
inforced behavior with little or no recovery as long as responses continue
to incur aversive consequences. High punishment are re-
intensities of
quired, however, to maintain behavioral suppression if punishment is

administered onlv intermittently, rewarded alternatives do not exist, the

behavior is strongly established, and is concurrently supported by highly
favorable conditions of reinforcement (Azrin & Holz, 1966; Boe, 1964).

PUNISHMENT AND AVAILABILITY

OF ALTERNATIVE MODES OF RESPONSE
Severe punishing consequences would have to be applied over a long
period to reduce behavior effectively in persons who, because of their
restricted behavioral repertoires, possess few alternative means for se-
The
curing positive reinforcement. response availability on the
effects of
suppressive power of punishment are clearly illustrated in a laboratory
experiment conducted by Mowrer (1940), in which animals were taught
two modes of adjustment to an aversive situation. One group first learned
to sit on the hind legs in order to reduce the intensity of shock stimula-
tion. After this response was acquired, conditions were altered so that the

subjects could turn the shock off completely by striking a pedal. Since
Presentation of Negative Reinforcers 315

the latter competing response was considerably more effective it soon

became strongly established. A second group of subjects learned only the
pedal-pressing response. When pedal-pressing was subsequently punished
in both groups, the animals that had learned a single response continued
to perform the punished behavior for the entire duration of the experi-
ment, whereas all but one of the animals that had available two different
modes of adjustment quickly reverted to the earlier pattern of behavior.
Azrin and his associates ( Herman & Azrin, 1964; Holz, Azrin, & Ayllon,
1963) similarly demonstrated with adult psychotics that punishment was
generally ineffective when the punished response constituted the sole
means of securing positive reinforcement. On the other hand, when pa-
were provided an alternative means of obtaining rewards, punish-
tients
ment produced an immediate and complete reduction of the undesired
behavior.
The above findings suggest that persons who have few response op-
tions willbe slow to abandon behavior that results in negative outcomes.
This is one reason that punishment is ineffective in modifying the anti-
social patterns of delinquents and adult offenders who lack alternative
prosocial modes of response for acquiring possessions that they value
highly. Under these conditions, punishment of antisocial behavior is likely
to lead offenders either to adopt safer forms of illegitimate activities, or
to alter their techniques in order to avoid detection and punishment on
future occasions. An excellent example of the way inwhich punishment
results in refinement rather than elimination of antisocial behavior is pro-
vided in the autobiography of a talented habitual offender.

My prison surroundings have been completely a life apart, something so

far away that at times it was my real circumstances that seemed so
fantastic. In between I went over jobs which I had pulled off and
mentally surveyed them to see how they could be improved upon. Then
I went over my mistakes again, and learned how they had occurred and
let me down. So you see there was always plenty for me to do when I

lay on that board with no occupation but thinking. And plan future jobs.

Oh yes, if a survey could be taken it would be proved that most of the

big criminal jobs, and thousands of small ones, are planned in gaol.
Planned to the last detail because there is not sufficient alternative in-
terest to occupy prisoners' minds [Hill, 1955, p. 39].

To the extent that refinements in deviant behavior increase an individ-

ual'sconfidence that he can avoid detection and punishment on subse-
quent occasions the behavior will most likely be repeated.
 )

316 AVERSIVE CONTROL

BEHAVIORAL REDUCTION THROUGH POSITIVE REINFORCEMENT

OF COMPETING RESPONSES

The laboratory findings reviewed above indicate that pre-existing

modes of behavior are likely to emerge when dominant response patterns
are reduced through punishment. Stimuli that exercise some degree of
control over different types of responses can also be utilized in conjunc-
tion with aversive procedures to elicit weaker response tendencies. The
temporary suppression of disapproved behavior thus provides an oppor-
tunity to strengthen either emergent or actively elicited responsiveness.
When the desired alternatives do not exist in the individual's behavioral
repertoire, positive modeling and reinforcement procedures can be ef-
fectively employed to establish and to strengthen response patterns in-
compatible with the maladaptive behavior.
The results of several experiments ( Boe, 1964; Holz, Azrin, & Ayllon,
1963; Whiting & Mowrer, 1943) have consistently shown that responses
can be rapidly and durably eliminated when the behavior in question is
punished and competing responses are simultaneously rewarded. A treat-
ment program relying upon a combination of aversive control of deviant
responses and positive reinforcement of desired responses may be most
effective for eliminating highly disturbing patterns of behavior. When
differential reinforcement is applied to competing modes of behavior, the
punished responses may be counteracted by either interfering responses
elicited by the aversive stimuli or competing behavior maintained on the
1

basis of positive reinforcement. Under these circumstances, long-lasting

suppression is through inhibitory responses estab-
probably achieved less

lished by punishment than by the prepotency of rewarded alternatives.

This is suggested by findings from an experiment by Timmons (1962),
who compared the relative efficacy of extinction, verbal punishment, and
counterconditioning of a competing response in eliminating formerly ap-
propriate verbal responses. Counterconditioning proved most powerful,
but the addition of punishment to counterconditioning contributed little
to the change process. However, this conclusion may not hold true when
undesired behavior is so strongly established that few opportunities arise

to reward competing tendencies. It has also been shown that even mild
punishment, which has more informative than inhibitory value, may facil-
itate behavioral change to the same extent as severe levels of punishment,
provided that alternative responses are concomitantly rewarded (Boe,
1964).
In a comprehensive analysis of punishment effects Solomon ( 1964
has termed the widespread belief that punishment is only a temporarily

effective controller of behavior a legend springing from tenderheartedness

and sentimentalism. The findings reviewed in the preceding sections,
Applications of Aversive Contingency Systems 317

though not entirely consistent, nevertheless provide considerable empiri-

cal documentation that under a wide variety of conditions the reductive
effects of punishment tend, in fact, to be impermanent. The conclusions
drawn from this large body of research cannot be readily dismissed as
legendary or spurious. It is equally true that punishments administered
in conjunction with other procedures may produce enduring changes in
behavior ( Beach, Conovitz, Steinberg, & Goldstein, 1956; Boe & Church,
1967; Storms, Boroczi, & Broen, 1963). Moreover, innumerable studies
have shown that tenacious inhibitions and avoidance behaviors are cre-
ated when emotional arousal is conditioned to environmental and self-
generated stimuli through aversive means.
It would appear from these diverse outcomes that any sweeping judg-

ment regarding punishment effects results in self-contradiction. One

cannot contend that punishment is ineffective because it has only tempo-
rary suppressing effects and at the same time argue against its use on the
grounds that it produces behavior that is unusually resistant to change.
Similarly, self-contradictions arise when studies in which punishment re-
sults in self-starvation ( Lichtenstein, 1950) or needless inhibition of effec-
tive means of securing reinforcement (Whiting & Mowrer, 1943) are
cited as evidence of powerful aversive control of behavior, but behavioral
rigidity and other undesirable by-products of punishment are treated as
unsubstantiated concerns.

Applications of Aversive Contingency Systems

When aversive procedures are essential for alleviating a detrimental

condition, they are generally viewed by adults as an unpleasant though
necessary part of the treatment, comparable to the painful routines of
physical medicine, rather than as an interpersonal assault. For this reason,
patients rarely develop widely generalized fears and hostile behavior to-
ward dentists and surgeons whose ministrations initially produce highly
distressing experiences. Consequently, if presented in a treatment context,
aversive contingencies may have fewer adverse side effects than when
they are used dictatorially to eliminate behavior that has high functional
value for the performer.
When
aversive control is employed to modify harmful social behavior
the same punishing consequences may be strongly resented or willingly
accepted depending upon the perceived intent of the agent, and whether
the sanctions are applied mainly for his own convenience or for the bene-
fit of the recipient. Undesirable emotional effects can be substantially re-
duced by arranging in advance explicit contractual contingencies which
clearly define the broad limits of permissible and punishable behaviors.
Whenever the undesirable behavior is performed the aversive conse-
318 AVERSIVE CONTROL

quences should be applied immediately, consistently, and in a matter-of-

fact way. If prearranged contingencies are implemented in a nonpunitive
fashion, the negative sanctions will tend to be regarded by the recipient
as legitimate, predictable consequences of his behavior, rather than as
arbitrary and vindictive reactions.

SPEECH DISORDERS
Aversive contingencies have been extensively employed by Goldia-
mond (1965a) in both experimental production of stuttering behavior
and its elimination. Before discussing the details of this approach and its

therapeutic efficacy, some of the conditions that have been presumed to

control disfluencies will be reviewed. Learning interpretations of func-
tional speech disorders generally conceptualize stuttering as avoidance
responses that are evoked by verbal stimuli in the presence of potentially
The various explanatory schemes ( Brutten &
threatening situational cues.
Shoemaker, 1967; Shames & Sherrick, 1963; Sheehan, 1958; Wischner,
1950) primarily differ in the roles they assign to conditioned emotionality
and to positive and negative reinforcement processes in the regulation of
disfluencies.
Innumerable assessments have been made of the personality character-
istics of stutterersand their parents, but observational studies of the nat-
urally occurring contingencies associated with disfluencies are lacking.
Based on retrospective data from families of stutterers and nonstutterers,
Johnson (1942), who advocated a semantic-learning approach, consid-
ered the following conditions to be critical in the initial development of
speech disorders. All young children display some repetitions of words,
phrases, and syllables without any accompanying emotional arousal or
self-awareness that their speech is defective (Davis, 1939, 1940). How-
ever, parents of children who later exhibit serious speech problems label
normal disfluencies as stuttering, to which they then respond with in-

creased vigilance, verbal reprimands, and anxious remedial efforts. It is

assumed that, as a consequence of negative evaluations and mislabeling

of natural disfluencies, anxiety reactions become conditioned to the act of
verbal communication. Formerly effortless repetitions are now accompa-
nied by blockages, prolongations, muscular tension, respiratory changes,
and compensatory facial and body movement. Once disfluencies take on
aversive properties they are transformed into stuttering responses, and,
like other forms of avoidance behavior, become capable of creating their
own maintaining conditions.
Results of laboratory studies that will be reviewed later are not en-
with the above etiological formulation. Stimuli that have
tirely consistent
been regularly associated with punishment can have disruptive effects on
speech, but negative consequences made specifically contingent on dis-
Applications of Aversive Contingency Systems 319

fluencies generally reduce their occurrence (Brookshire & Martin, 1967;

Siegel & Martin, 1966; Quist & Martin, 1967). It would follow from these
findings that punishment might increase the frequency of disfluencies
only if the disruptive effects of classically conditioned arousal outweigh
the reductive effects of punishing consequences. Another important de-
terminant of disfluencies, which is usually either ignored or assigned a

secondary role in anxiety theories of stuttering, is that solicitous parental

concern made contingent upon disfluencies can function as a powerful
positive reinforcer for such behavior. Parents may thus inadvertently in-
crease their children's disfluencies through their selective attention.
Familial modeling may also play an influential role, either directly or

indirectly, in thedevelopment of disfluent speech patterns. Nelson ( 1939)

compared the incidence of stutterers in filial, parental, and grandparental
generations of families of 204 stutterers and of a matched group that man-
ifested no speech disorders. Stuttering appeared in more than one gener-
ation in only 2 percent of the nonstutterers, whereas the incidence was
More direct evidence for the force
51 percent in the families of stutterers.
of example provided by Van Riper ( 1937 ) who found that stutterers
is ,

not only displayed a higher rate of disfluency following exposure to a

stuttering model as compared to a nonstuttering model, but they even
adopted some of the idiosyncratic features of the stutterer's verbal behav-
ior. Nelson argues for a genetic transmission on the grounds that, in some
cases, the parents no longer stuttered or contact with disfluent grandpar-
ents was limited. The genetic interpretation may very well be valid, but
an explanation in terms of social learning is equally tenable. Adults who
themselves suffered from speech disorders at an earlier period of their
life, or whose parents stuttered, would be prone to respond with exces-

sive concern to their children's natural disfluencies, thus increasing such

behavior even in the absence of modeled stuttering.
Sheehan (1958) and Wischner (1950) provide the most detailed ac-
counts of the negative reinforcement mechanism presumed to maintain
stuttering responses. Their interpretations differ mainly on the point in
the speech sequence at which reinforcement supposedly occurs. Accord-
ing to Wischner, anxiety elicited by specific words and situational cues
results in momentary blocking of a later portion of a verbal response in
an attempt to postpone or avoid anticipated social disapproval, embar-
rassment or other negative experiences. Stuttering behavior is believed to
be reinforced by virtue of its close temporal juxtaposition with anxiety-
tension reduction accompanying successful completion of the word on
which difficulty was experienced. Although stuttering generally produces
negative consequences as well, Wischner assumes that the rewarding ef-
fects of immediate tension reduction outweigh the inhibitory effects of
temporarily more remote punishment.
320 AVERSIVE CONTROL

In his approach-avoidance conflict theory of stuttering, Sheehan (1958)

similarly regards stuttering as an anxiety reducer, but he posits a two-
stage reinforcement process. Stuttering, according to Sheehan, is a result-
ant of competing urges to communicate and to avoid speaking. Whenever
the conflicting approach and avoidance tendencies reach a point of equi-
librium, the flow of speech is interrupted or blocked. Momentary inhibi-
tion of speech reduces the fear generated by verbal communication which
both reinforces blocking and, by lowering the fear-motivated avoidance
gradient, releases the blocked word. In addition, tension reduction fol-
lowing completion of the word reinforces the preceding stuttering re-
sponses, as well as any accompanying facial and body movements de-
signed to help restore fluency.
Brutten & Shoemaker ( 1967 ) consider stuttering to be a phenomenon
involving both emotional and instrumental conditioning processes, with
the former assuming the more influential role. According to this view,
disfluencies reflect the disruptive effects of emotional arousal that have
become classically conditioned to certain and word cues
situational
through unpleasant experiences. Several studies have been published that
provide some supporting evidence for the influence of classically condi-
tioned arousal on disfluencies. Hill (1954) found that students displayed
disorganization of speech in the presence of a light that had previously
been paired with shock stimulation. Similar increases in disfluencies have
also been obtained during periods of emotional stress produced by arbi-
trary punishment (Stassi, 1961), or by exposure to stimuli that signaled
the occurrence of punishing events (Savoye, 1959). While stuttering is
conceptualized primarily as a form of behavioral disorganization rather
than an avoidance response, it is assumed to include a secondary instru-
mental component. That is, stutterers adopt idiosyncratic phonatory, ar-
ticulatory, and resonatory modes of expression designed to escape or
forestall emotional disturbances occasioned by disfluencies. These adjus-
tive responses, most of which take nonverbal forms, are instrumentally
reinforced by subsequent word completion and attendant reduction of
distress. It would follow from this explanatory scheme that stuttering can

be effectively eliminated only by extinguishing the emotion-provoking

properties of threatening stimuli.
In view of the widespread belief that anxiety-reduction is the primary
maintaining mechanism in functional speech disorders, it is somewhat sur-
prising that relatively few laboratory studies have been conducted for the
specific purpose of evaluating this central hypothesis. The reinforcement
mechanisms adopted in the theories discussed earlier are well suited to
account for unusual persistence of speech disorders. If stuttering responses
produce almost instantaneous reinforcement through anxiety reduction
upon their occurrence, as assumed, one would expect stuttering never to
Applications of Aversive Contingency Systems 321

undergo extinction unless special consequences were somehow promptly

interposed between the onset of blocking and completion of the word.
However, a retrospective study by Sheehan & Martyn (1966) showing
that approximately 80 percent of college students who had been stutterers
eventually achieved fluent speech suggests that recovery from stuttering
without special intervention requires explanation just as much as does the
persistence of stuttering.
In addition to the meager experimental data on the acquisition and
maintenance of stuttering responses, the anxiety-reduction theories fur-
nished no distinctive modes of treatment. An early experiment by Sheehan
( 1951 )
, however, had therapeutic implications that were never pursued.
In this study it was assumed that the point of reinforcement of stuttering
responses is the anxiety reduction following completion of the word.
Therefore, in an effort to prevent reinforcement of stuttering responses,
conditions were so arranged that only fluent speech could be instrumental
in terminating each word in spoken sentences. Adult stutterers read pas-
sages aloud on different days under two conditions in counterbalanced
order. Under the control conditions subjects merely read the material six
times in their usual way without arrangement of any special consequences
for disfluencies. In the nonreinforcement treatment, however, subjects
read the passages aloud five times, except that they were required to re-
peat each stuttered word until they had said it fluently before proceeding
to the next word. Thus, stuttering prolonged rather than terminated the
attendant stress and tension. On the sixth experimental trial and on the
seventh trial of both conditions subjects read the passages as they nor-
mally would. Comparison of the frequency of disfluencies between condi-
tions and successive readings ( Figure 5-3 ) shows that stuttering was sub-
stantially reduced and remained significantly lower when it produced
negative consequences; whereas, under ordinary conditions, stuttering
rate decreased slightly, probably as a function of adaptation, but was
subsequently restored to its original level. Despite the encouraging find-
ings, the experimental procedure was never extended to test its thera-
peutic efficacy. Instead the author (Sheehan, 1954) advocated the same
time-consuming interview approaches that have proved of limited value
in altering other forms of deviant behavior.
In the preceding experiment any possible decremental reinforcement
of stuttering responses occurring at the terminal point of the verbal se-
quence was removed. The effectiveness of reinforcement can be reduced
if an interval of time and other activities intervenes between a response
and its intended consequences. In Sheehan's study the temporal arrange-
ment of events was not the most favorable one for eliminating disfluency;
i.e., stuttering responses eventually ended in word completions which, in

turn, were followed by negative consequences of having to repeat the

322 AVERSIVE CONTROL

28 Control

Experimental

24

20

g> 16

4 -

12 3 4
Readings
5 6 7

Figure 5-3. Frequency of stuttering through successive readings in experimental

and control conditions. Sheehan, 1951.

word on which the subject encountered difficulty. Hence, successful word

completion was punished more strongly than temporally remote repeti-
tions and blockages. Results of a study by Daly & Cooper (1967), how-
ever, raise doubt that stutter-contingent punishment would have achieved
a greater reductive effect. These investigators compared the frequency of
disfluencies under conditions where shock was administered either during
the act of stuttering or immediately following completion of each stut-
tered word. The stutter-contingent system reduced disfluencies most, but
was not of statistically significant magnitude. In the method
the difference
devised by Goldiamond 1965a ) for modifying chronic stuttering, which
(

will be reviewed next, each moment of disfluency produces an immediate

unpleasant consequence.
It is not entirely clear from Goldiamond's otherwise informative article

what he considers to be the critical conditions for the acquisition and

maintenance of stuttering responses. While acknowledging that stuttering
may involve an emotional component, the anxiety-reduction theory is
summarily dismissed. Instead, numerous anecdotal reports are presented
to illustrate that stutterers are generally subjected to lower achievement
demands, they are called on less often to perform onerous tasks, their
errors are more likely to elicit sympathetic reactions from listeners, they
are provided more time to formulate answers to questions, and they can
effectively command polite attention through disfluency. These reports
Applications of Aversive Contingency Systems 323

highlight both the avoidance function of stuttering responses and their

value for drawing positive responses from others.
Because of the nature of the contingencies employed, findings from
an experiment designed to produce stuttering responses in a normally
fluent subject ( Flanagan, Goldiamond, & Azrin, 1959 ) are of limited value
in elucidating the conditions under which stuttering is most likely ac-
quired. In this experiment, a subject received continual shock; a verbal
blockage, however, turned off the shock for 10 seconds, and each addi-
tional disfluency occurring during the interval further delayed the aver-
sive stimulation for a fixed time. As might be expected, blockage rate
increased markedly to the point where the subject almost completely
averted the unpleasant stimulation by continuous disfluent speech. While
this study demonstrates that it is possible to induce deviant verbal behav-
ior, it is exceedingly improbable that parents of stutterers continuously
punish their children's fluent verbal patterns, but respond nonpunitively
whenever their children block and stutter. Indeed, the findings discussed
earlier indicate that the pattern of naturalistic contingencies is probably
the exact opposite of the one imposed in the above study. We may grant
that experiments are not designed to reproduce in every detail the stimu-
lus events that occur in real life, but we should require experimental con-
tingencies to bear some resemblance to social reality if their findings are
to have explanatory value.
The studies previously reported suggest that disfluent speech can be
influenced to varying degrees by at least three sets of controlling condi-
tions. First, threatening stimulus events can produce speech disorganiza-
tion through arousal of anticipatory emotional responses. Second, anxiety
and tension reduction associated with the completion of stuttering re-
sponses can serve to reinforce them. And third, disfluency may have some
functional value in commanding attention and lessening performance de-
mands as suggested by Goldiamond. A situational analysis of disfluencies
in children by Davis (1940), in fact, disclosed that disfluent speech oc-
curred most frequently when children either were emotionally aroused
or wished to gain the attention of others.
Practically every form of psychotherapeutic approach has been ap-
plied at one time or another to speech disorders, with limited degrees of
success. Goldiamond (1965a) reports uniformly favorable outcomes with
stutterers by disfluency-contingent punishment which, if confirmed by
more extensive assessments conducted over a longer period, would rep-
resent a notable therapeutic achievement.
In the first step of the procedure, stutterers are instructed to read
aloud from printed pages for approximately 50-minute periods to provide
a baseline measure of stuttering. In this initial assessment reading speed
324 AVERSIVE CONTROL

and frequency of disfluencies are recorded. During the treatment phase

of the program reading rate is deliberately slowed down and negative
consequences are made contingent upon the occurrence of stuttering re-
sponses.Delayed auditory feedback of the person's own voice is utilized
as the stutter-produced aversive stimulus.
Pauses frequently occur as natural parts of fluent speech and, conse-
quently, an independent observer would have to delay judgment as to
whether a particular hesitancy represented a natural pause or a speech
block. In order to ensure that aversive consequences are immediately
contingent upon disfluencies, the client self-administers the negative feed-
back on the basis of his own response definitions. During oral reading of
material presented at a low rate the client presses a microswitch for each
word blocked, which immediately shunts speech to a delayed feedback
device for a fixed time. This procedure eventually establishes a slow stut-
terless pattern of verbal behavior.
After the substitute fluent pattern is stabilized, the client's verbal be-
havior is progressively modified in the direction of normal speech. This is

achieved by accelerating the reading rate in graduated steps through me-

chanical control of the material to normal or beyond baseline levels. At
the same time, delayed feedback is also gradually faded out. For example,
the delay period may be reduced from an initial 250 millisecond duration
to 200, 150, 100, 50 milliseconds,and finally eliminated completely.
A summary and concomitant changes in verbal flu-
of the procedures
ency achieved with the first subject to receive this form of tieatment is
presented in Figure 5-4. During the baseline period, which extended over
the first 21 days, the subject read approximately 110 words per minute
and stuttered on about 15 words per minute. In sessions 22 through 33,
he engaged in self-definition of stuttering without any response-contin-
gent consequences. Beginning with the 34th session, reading rate was
lowered and stutter-produced delayed feedback was introduced. At ses-
sion 47, time control of reading rate was instituted, and several sessions
later delayed feedback was gradually faded out on successive days. As
shown in the figure, during the terminal phase of the experiment
the subject was reading approximately 140 words per minute, well above
his previous baseline, while stuttering responses, which ranged between
0.2 and 0.6 words per minute, were almost completely eliminated.
Goldiamond reports even more dramatic changes in verbal fluency
(Figure 5-5) in a second stutterer who, because of time limitations, par-
ticipated in a highly condensed version of the standard procedure. Stut-
ter-produced delayed feedback combined with slow presentation of read-
ing material was introduced after three sessions; shortly thereafter reading
rate was raised in successive stages, and the aversive contingency was
Applications of Aversive Contingency Systems 325

200
160

120
100
80

60

40

20 -

w 10
CJ

I 8

~ 4

0.6

0.4

0.2

0.1

Figure 5-4. Reduction in stuttering rate and establishment of fluent reading

Goldiamond, 1965a.
in a chronic stutterer.

gradually removed. By the eighth and final day the client was reading 256
words per minute without manifesting a single disfluency.
Quantitative data are presented for eight chronic stutterers. In each
case fluent speech was achieved and maintained in the laboratory situa-
tioneven when rate of verbalization was increased and negative conse-
quences withdrawn. Goldiamond also reports concomitant improvements
in clients' speech in naturalistic settings, but apparently no objective as-
326 AVERSIVE CONTROL

26
256 WPM
25

24

23

22

21

20

o 19
x
-Q 18

•E 17

"g 16
S/DF
| 15
5
£ 14

-. 13

£l2
a)

I 11

Reading rate
| 10

| 9

Io 8

5 7

Stuttering rate
2

200 150 100 50 00

J L J L J
12
I

3 4 5 6 7 8 9 10
Oct. 29 30 N1 4 h5H 6 h-7H
Sessions

Figure 5-5. Elimination of disfluencies through stutter-produced delayed feed-

back and development of rapid fluent reading. Goldiamond, 1965a.
Applications of Aversive Contingency Systems 327

sessments were conducted. According to a later research report (Goldia-

mond, 1965b ) , fluent patterns of rapid reading, which endure under lab-
oratory conditions, have been established in 30 stutterers within a remark-
ably short time. These preliminary findings indicate that the procedures
devised by Goldiamond may have considerable promise. However, evalu-
ation of their therapeutic efficacy must be deferred until more stringent
tests are carried out, and long-term follow-up results are furnished.
Reports of changes in stuttering behavior must be accepted with cau-
tion in view of evidence that disfluency varies considerably as a function
of the social characteristics and the communicative demands of different
situations. A review of the relevant literature by Bloodstein (1949) re-
veals that stuttering responses are greatly diminished under conditions
of reduced requirements for interpersonal communication. For example,
stutterers can generally sing and count fluently, they can speak smoothly
when acting, when imitating another person's verbal style, or when alone.
For this reason attainment of rapid stutterless reading by a person alone
in a booth does not constitute a powerful test. Disfluency is likewise de-
creased in situations where negative social reactions from listeners are
minimized. Thus stutterers may experience little verbal difficulty when
speaking to persons much younger than themselves, to audiences regarded
as socially or intellectually inferior, or to persons over whom they exercise
authority. These findings suggest that stringent tests of fluency would
require social communication rather than oral reading in evaluative situ-
ations involving intimidating audiences. Tape recordings of speech under
these types of conditions can be obtained without difficulty.
When behavior is modified in clinic offices or laboratories the problem
of insufficient transfer of changes to everyday situations frequently arises.
Goldiamond has attempted to overcome this difficulty in the elimination
of stuttering by utilizing additional procedures specifically designed to
aid generalization of fluent speech to the natural social environment.
Speech exercises are prescribed for the client to perform at home. Essen-
tially these involve reading for brief periods in the slow stutterless man-
ner developed in the laboratory, interspersed with rapid oral reading.
The method devised by Goldiamond follows an exclusively operant
approach. If all stutterers who receive this form of treatment are able to
converse fluently, even under stressful social conditions, then obviously
no additional procedures are required. On the other hand, if their speech
performance is substantially improved but they continue to exhibit some
disfluencies in certain emotion-arousing situations they could benefit from
a program of desensitization. Some case data have been published to sug-
gest that disfluencies controlled by conditioned aversive stimuli can be
successfully eliminated by extinguishing emotional responsiveness to such
threats.
328 AVERSIVE CONTROL

An provided by Walton & Mather (1963) in the

illustrative case is

treatment of a 40-year-old architectwho suffered from an articulatory

disorder characterized by speech blocks associated with teeth grinding.
The controlling stimuli for the client's disfluencies included situations in
which he was required to convey specific information, particularly in the
presence of strangers, supervisors, and persons whom he wished to im-
press. Initially a "speech shadowing" technique was employed in which
the therapist read passages from a book and the client matched his ver-
balizations without seeing the text. Although this method proved highly
effective in producing fluent speech in the treatment situation, the stam-
mering nevertheless persisted in natural contexts. The second treatment
strategy was aimed directly at neutralizing the stimulus determinants of
the speech blocks. At the completion of a desensitization treatment, in
which stammer-generating situations were repeatedlv paired with relaxa-
tion, the client was able' to converse fluentlv, even when communicating
specific information to persons in authority. Because of the multiple de-
termination of disfluencies, a treatment strategy combining reinforcement
procedures that restore fluent speech with methods that can extinguish
the arousal potential of stutter-eliciting stimuli would prove most effective
in eliminating disfluencies under stressful social circumstances.

CONTROL OF SELF-INJURIOUS BEHAVIOR

One of the most perplexing and dangerous disorders, which is espe-
cially prevalent among schizophrenic children, involves self-injurious be-
havior. In its more extreme forms, children pummel their faces repeatedly,
they bang them- heads forcibly against hard or sharp objects, they tear and
bite off pieces of flesh from their bodies, or they exhibit some other type
of self-mutilating behavior. Because of the serious risk of permanent phys-
ical injury, such children are usually kept continuously in physical re-

straints.
The maintaining conditions of self-injurious behavior are not fully
understood, but several experiments have shown that it is amenable to
control through variation of reinforcing consequences. Lovaas, Freitag,
Gold, & Kassorla (1965) found that the self-injurious responses are
readily cued off by stimuli signifying withdrawal of social reinforcement
for other behaviors and that they tend to increase in frequency and
intensity when social reactions are made contingent upon their occur-
rence. Demonstrations that self-injurious behavior can be reduced through
reinforcement of physically incompatible responses and increased by
extinction of competing activities cast little light on the variables that
control this behavior. Of much greater interest are the changes pro-
duced by variation of the contingencies applied directly to self-injurious
behavior.
Applications of Aversive Contingency Systems 329

It has been demonstrated (Bucher & Lovaas, 1968; Lovaas, et al.,

1965) that physical affection, and sympathetic and reassuring comments

made to children whenever they engage in self-injurious behavior, leads
them respond even more self-destructively, whereas such behavior
to
is promptlv reduced to its original baseline level when positive re-

actions are discontinued. These findings suggest that self-injurious be-

havior may be partly maintained by its social consequences, though
the evidence is conflicting on this point. Subtle changes in social re-
inforcement, such as an experimenter remaining with a child without
attending to him, does not seem to affect the rate of self-injurious re-
sponses (Lovaas et al., 1965; Risley, 1968). More complete withdrawal
of social interaction for a brief period whenever children behave self-

injuriously reduces such activities, but occasionally they are unaffected

even bv these more powerful consequences (Risley, 1968). Whatever
the controlling variables might be in any given case, preliminary findings
indicate that chronic and intractable self-injurious behavior can be suc-
cessfully eliminated with beneficial effects by brief application of an
aversive contingency.
Punishment is generally used as an adjunct to either extinction pro-
cedures or differential reinforcement of competing response patterns.
Brief social withdrawal made contingent on self-destructive behavior
is usually sufficient for its permanent removal (Hamilton, Stephens,
& Allen,' 1967; Lovaas et al., 1965; Wolf, Risley, & Mees, 1964). In
some cases, however, when self-mutilating behavior is first placed on
extinction it may temporarily increase in intensity, which could be po-
tentially dangerous. These responses can be promptlv and completely
eliminated bv contingent application of a few painful shocks. In one
of several cases reported by Bucher & Lovaas ( 1968 ) a seven-year-old
schizophrenic boy who had been self-injurious since the age of two
performed approximately 3,000 self-pummelling responses during a pe-
riod of 90 minutes when his physical restraints were removed. This
behavior was almost totally eliminated in four sessions by the use of 12
contingent shocks. Self-destructive behavior that had persisted over a
period of six years was also rapidly and durably removed in a schizo-
phrenic girl after she received a total of 15 shocks for beating her head
(Figure 5-6). In each case reported, contingent aversive consequences
not only removed self-mutilating behavior, but the children whined less
and they were much more inclined to attend to the therapists.
Tate & Baroff (1966) similarly achieved quick control over chronic
self-injurious behavior in a partially blind psychotic boy through punish-
ment procedures. The behavior, which he had exhibited continuously
for five years, included vigorous head-banging, face-slapping, and self-
kicking. Because physical contact with people was highly reinforcing
330 AVERSIVE CONTROL

lit T~T«
14 16 18 20 22 24 26 28
|
2 2 1 121131214455
pnJJ f_t
J
-!
N

Figure 5-6. Frequency of self-injurious behavior and amount of avoidance and

crying displayed by an autistic child during pre-treatment sessions ( 1 through
15), and when such behavior was punished by shock (P) or a verbal rep-
rimand "no" (N) during sessions 16, 17, 19, and 21. The numerals below
the session numbers identify the therapist present during the session. Bucher
& Lovaas, 1968.

to the boy it was employed as the consequent event in the first phase of
the treatment program. A series of daily walks was arranged in each of
which the therapist removed his hand from the child's grasp and ceased
talking whenever a self-injurious response occurred; physical contact
was reinstated if the boy did not hit himself for a period of three seconds.
As can be seen in Figure 5-7, the time-out contingency produced a
dramatic reduction in self-injurious behavior.
In the second phase of the program, response-contingent shock was
used to eliminate the remaining head-banging that threatened further
damage to his eyes. It was explained to him that if he continued to hit
himself he would receive painful shocks. The aversive contingency, com-
bined with verbal praise and affectionate reactions for desirable be-
havior, permanently eliminated the self-injurious responding. Whereas
previously the boy had been physically restrained in bed, after the
treatment program was completed he participated freely in daily activities
with increased enjoyment and spontaneity.
Risley (1968) provides a detailed report of a case in which social
consequences were totally ineffective in decreasing self -injurious behavior.
Applications of Aversive Contingency Systems 331

10.0

Control Experimental
D Control Experimental

Days

Figure 5-7. Daily average frequency of self-injurious responses performed per

minute on control days when such responses were followed by no special
consequences, and on experimental days when self-striking behavior produced
brief withdrawal of physical contact. Tate & Baroff, 1966.

It involved a markedly deviant 6-year-old girl who suffered many serious

body and facial injuries from hazardous climbing activities which she
engaged in continuously. A program of differential reinforcement, wherein
climbing behavior was ignored and incompatible responses were re-
warded, failed to produce any significant changes. Unlike the cases cited
above, brief physical isolation contingent upon dangerous climbing be-
havior also proved ineffectual. After these other methods failed, shock
punishment was applied in conjunction with a verbal reprimand. Ad-
ministration of several shocks, and later verbal reprimands alone, com-
pletely eliminated inappropriate climbing when the experimenter was
present, but there was no noticeable decrease in this behavior at home.
When the mother subsequently applied contingent shock at home, peril-
ous clambering promptly declined from an average rate of 29 to 2 per
day within a few days. Thereafter, the behavior was successfully con-
trolled by having the child sit in a chair for a brief period after each
instance of climbing.
It is noteworthy that surprisingly brief programs of contingent shock

and reinforcement withdrawal are not only effective in removing self-

injurious behavior of long standing, but they generally improve social
functioning as well. These related changes are most clearly revealed in
332 AVERSIVE CONTROL

the findings reported by Risley (1968). After disruptive self-injurious

behavior is removed, children become more attentive, sociallv responsive,
and display increased imitativeness, thus enabling them to acquire new
patterns of behavior. If further studies support this conclusion, there is

no justification for having children mutilating themselves or spending

their early years uselessly in physical restraints.

MOTOR DYSFUNCTIONS
In one of the early applications of aversive contingencies, Liversedge
& Sylvester (1955; Sylvester & Liversedge, 1960) treated 39 cases of
writer's cramp with a procedure employing response-contingent shock.
In the majority of cases, tremors and spasms of hand muscles were
elicited only by highly specific writing stimuli, but the same muscle groups
were unaffected when involved in nonwriting situations. As has been
found in other types of deviant behavior, the individuals exhibiting this
occupational impairment shared no common psychological characteristics,
suggesting that specific reinforcement contingencies rather than psychody-
namic factors were the critical determinants. It is therefore not surprising
that a number of these clients who had undergone various conventional
forms of psychotherapy experienced little or no amelioration of their
"craft neurosis." Consequently, Liversedge & Sylvester explored the
efficacy of aversive consequences for altering each component of the
physical disorder.
In order to remove tremors, one element of the motor disability, the
clients were required to insert a stylus into a series of progressively smaller
holes; each time the stylus made contact with the side of the hole it

resulted in a shock. The removal of the spasm component of the disorder

was obtained two ways: First, the clients traced various line patterns
in
(similar to the movements required in writing) on a metal plate with a
stylus, and any deviation from the path produced a shock. Following
training on the apparatus, thev then wrote with an electrified pen which
delivered a shock whenever excessive thumb pressure was applied. In
treating typists' cramp a small electrified pad was attached to the palm
of the hand so that whenever the fingers contracted into the palm a
shock was delivered.
The authors report that after 3 to 6 weeks' training, writing of satis-

factory quality was restored in 24 of the cases; the clients were able to
resume work, which often involved writing for extended periods, and
follow-up studies conducted up to four and a half years later disclosed
that the improvement was being maintained. Five clients responded
favorably to the treatment but subsequently experienced a recurrence of
muscular dvsfunction. while 10 cases showed no improvement. The
had exhibited the motor disability over a longer period (6 to 21
failures
Applications of Aversive Contingency Systems 333

years), which may partly explain why they were less responsive to the
treatment.
The procedures devised by Liversedge & Sylvester are sufficiently
effective to merit controlled studies to isolate factors responsible for the
success of this treatment approach. Since the technique involves both
response guidance and punishment of spasmodic and tremorous responses,
it is conceivable that guided retraining with nonaversive feedback may in
itself effect needed regarding the
changes. In addition, information is

types of individuals who achieve lasting benefit from application of

aversive contingencies alone, those who require supplementary or alterna-
tive forms of treatment, and the cases for whom aversive procedures are
contraindicated.
It would appear, from the findings of Liversedge & Sylvester, that
aversive contingencies are most successful in modifying motor dysfunc-
tions controlled directly by stimuli in writing situations that do not have
strong emotion-provoking value. On the other hand, in instances where
muscular tremors and tension reflect the disruptive effects of high emo-
tional arousal, punishment may further augment the negative valence of
writing situations and thereby exacerbate the condition. In this connec-
tion, Beech ( 1960 ) has furnished some preliminary experimental evi-
dence that extinction and desensitization methods may prove successful
with highly anxious individuals whose writing disturbances are unim-
proved by contingent negative consequences.
In one case, for example, the person had received a full year of
psychoanalysis, a year of hypnotherapy, and 10 sessions of aversive con-
ditioning without any amelioration of a writer's cramp of five years' dura-
tion. Whenever he grasped a pen the index finger would contract and the
wrist would bend sharply, causing severe pain, fatigue, and immobiliza-
tion of the hand. The client participated in seven extinction sessions,
each of which consisted of massed evocation of effortful finger contrac-
which he could no longer retract the finger. Writing
tion, to the point at
tests administered following each extinction period disclosed not only a
rapid and progressive decline in the incidence of finger contraction, but
also a similar decremental change in the untreated arm spasm. Moreover,
on the day after the final experimental session the client was able to
write 24 lines with only one instance of hand spasm.
Similar, though less stable, results were obtained by extinction involv-
ing repeated response evocation with a second client, both of whose
hands were severely immobilized. Attempts at writing produced intense
painful muscular contractions and, at best, illegible scribbling; his left
hand, which he had previously used in typing, was clenched tightly into
a fist which he could open for only a few seconds at a time. In an attempt
to extinguish fist-clenching the client repeatedly performed effortful
334 AVERSIVE CONTROL

hand-closure responses on a dynamometer until he could no longer

squeeze the handle of the apparatus. After 33 extinction sessions he was
able to open his hand for an indefinite period; however, thoughts about
his work, and stressful interpersonal experiences, typically reinstated the
motor disorder. Since writing situations elicited considerable anxiety in
the client, the tremors and spasms associated with the act of writing were
treated by the standard desensitization procedure, in which imagined
writing activities were progressively performed in the context of relaxa-
tion. Tremorless writing of satisfactory quality was temporarily restored in
this manner, only to be followed by repeated relapses.
In the above case the motor dysfunction was apparently controlled,
in large part, by distressing vocational and interpersonal events. Had
emotional arousal to the latter situations also been neutralized, it is possi-
ble that more enduring changes would have been achieved. This type of
approach was successfully utilized with a foreign student who was unable
to take lecture notes due to marked hand tremors and attendant fatigue.
After participating in a brief desensitization program in which imagined
and actual writing situations were presented in conjunction with relaxa-
tion, the student was able to write in a rapid and relaxed manner without
manifesting any muscular disturbances. Announcement of a final exami-
nation, however, re-established the tremorous responses, though in less
marked form. A second scries of desensitization sessions, directed toward
examination situations, effectively eliminated the student's writing disa-
bility.

The case studies reported bv Beeeli were primarily designed to

demonstrate that writing disorders which apparently are under aversive
stimulus control and may therefore be exacerbated by punishment can be
modified under laboratory conditions by other methods. While these
findings have suggestive value,more extended applications and assess-
ments of these procedures are necessary to establish their utility for
eliminating occupational motor disorders.
A studv bv Barrett (1962) provides a laboratory demonstration of
reduction in tics by the use of automatically programmed response con-

sequences. The accountant, suffered from extensive

client, a 38-vear-old

multiple proved refractorv to psvehotherapeutic and pharmaco-

tics that

logical treatments. According to the client's report, the tics developed after
a frightening experience in the armv when he awoke one night with a
choking sensation accompanied bv a momentarv inabilitv to breathe or
swallow. At the time of the study, his motor pattern included contractions
of neck, shoulder, chest, and abdominal muscles, head-nodding, eye-
blinking, mouth-opening, other facial movements, and swallowing diffi-
culties.

During the experimental sessions, the tiqueur was seated comfortably

Applications of Aversive Contingency Systems 335

in an armchair designed so that spasmodic movements produced by the

ticwere automatically recorded, and activated the contingency controller.
The contingency arrangement was programmed so that each tic produced
either a brief interruption of music, or white noise. Music was chosen as
the positive stimulus since the client was a part-time musician and the
interruption of recorded jazz concerts that he had personally selected
could serve as an adequate negative event. The effects of the withdrawal
of music and the presentation of noise were compared with the client's
deliberate efforts to control his tics. Results based on eight sessions
showed that, while the rate of tics could be reduced somewhat by self-
control, tic-produced white noise, and contingent music, the most dra-
matic and stable decrements resulted from tic-produced interruption of
music. The latter procedure reduced the rate of tics from 55 to 85 percent
below the baseline level during the various sessions, but the question re-
mains whether continuance of the mild punishment contingency for a
longer period could eventually eliminate or markedly reduce the occur-
rence of tics in naturalistic settings when negative feedback is absent. The
author suggests that in therapeutic applications of this method, the client
might be able to modify motor and other disturbances under his own
direction if he were furnished with a portable contingency controller to
plug into a home radio, television, or record player. The intricate ap-
paratus could be dispensed with, however, if comparative studies dis-
closed that a simple extinction procedure involving repeated nonrein-
forced evocation of tics was equally or more effective than methods utili-

zing response-contingent punishment.

SEXUAL DEVIATIONS
Chapter 8 describes classical conditioning procedures designed to
eliminate sexual aberrations by endowing stimuli that elicit the behavior
with aversive properties. Some attempts have been made to bring sex-
ually deviant behavior under control through response-contingent aver-
sive stimulation. Feldman & MacCulloch (1964, 1965) provide a detailed
account of a treatment method, primarily based on an avoidance con-
ditioning paradigm, that they have developed for the modification of
homosexuality.
Clients are asked initially to rate the attractiveness of an extensive se-
depicting both clothed and completely nude males. A simi-
ries of slides

larhierarchy of slides of females varying in attractiveness is prepared. In

order to facilitate transfer effects, whenever possible photographs of
males and females with whom the client is closely acquainted are used.
In the avoidance conditioning procedure, a picture of a male is pre-
sented on a screen in a darkened room and the client is instructed to
leave the picture on the screen as long as he finds it sexually attractive.
336 AVERSIVE CONTROL

The clientinformed that he might be administered shocks during the

is

viewing periods, but that he can depress a switch that simultaneously

terminates the picture and the aversive stimulation. If he turns off the
slide within 8 seconds, shock is avoided; if, on the other hand, he con-
tinues to view the picture beyond the designated period he is adminis-
tered an unpleasant shock through electrodes attached to his leg.
On the assumption that variable training procedures will produce
avoidance responses that are highly resistant to extinction, the occur-
rence of negative consequences is varied randomly with respect to their

frequency and timing. Unpredictable aversive contingencies can produce

stable rates of avoidance responses in the treatment situation, but it is
questionable whether they will have much
on extinction in every-
effect
day situations. The reason for this, be explained more fully
which will
later, is that clients can easily recognize that the arbitrary punishment

contingency employed in treatment is completely absent in extrather-

apeutic situations. Under conditions where the schedules of reinforcement
in different situations are highly distinguishable, the partial reinforce-
ment effect would not be expected to carry over to the new context. In
any event, during the treatment series, one-third of the client's avoidance
responses to pictures of males are reinforced by shock termination; on
one-third of the trials aversive stimuli are administered even though the
clientperforms appropriate" avoidance responses within the allotted time;
and on the remaining trials termination of the picture is delayed for vary-
ing periods of time after the avoidance response has been performed.
In addition to establishing avoidance responses toward males, an
effort is made to condition anxiety relief properties to females by intro-
ducing slides of females contiguously with the removal of pictures of
males. To further increase approach tendencies toward females, the client
can request return of a slide of a female after it has been removed and
thus postpone aversive experiences periodically associated with male pic-
torial stimuli. The presentation and removal of the slides of females is
controlled bv the therapist in order to prevent any inadvertent reinforce-
ment of avoidant behavior toward females.
Initially, the slide of the least attractive male is paired with that of the
most fetching female. A particular male slide is displayed repeatedly until
the client reports indifference or a dislike for it, and, in addition, turns
off the slide within a second or two; the next feminine picture is intro-

duced when the client consistently requests the return of the preceding
feminine item. This same process isrepeated with succeeding pairs of
stimuli in the pictorial hierarchy. A typical session involves completion of
about 30 trials and requires some 20 minutes to conduct. The treatment
series, which averages about 15 sessions, is continued until a client ex-
Applications of Aversive Contingency Systems 337

hibits a clear change of sexual orientation. In addition, the client returns

for about 8 or 10 "booster" sessions during the year following completion
of the program.
Feldman & MacCulloch (1965) present preliminary outcome data for
19 unselected chronic homosexuals treated by this method. Three cases
discontinued therapy; 10 out of 12 clients under 40 years of age, and 1 out
of 4 cases over 40, achieved marked changes in their sexual orientations.
According to the authors, the clients' interests in men have greatly di-

minished and homosexual practices have been virtually eliminated,

whereas heterosexual interests, fantasies, and behavior have been sub-
stantially increased. Morever, in all but one case the increased hetero-
sexual behavior noted immediately after treatment has been either main-
tained or augmented during follow-up periods ranging from 2 to 14
months.
MacCulloch, Feldman, & Pinshoff (1965) also recorded response
latencies and physiological concomitants of avoidance conditioning for
a small subsample of cases to determine if response measures obtained
during treatment have value in predicting post-therapy sexual behavior.
Clients who achieved and maintained a heterosexual orientation displayed
progressively shorter avoidance response latencies to homoerotic stimuli;
they showed strong approach responses to feminine photographs as ther-
apy progressed, and they exhibited conditioned autonomic responses to
pictures of males. In contrast, those who reverted to homosexual practices
exhibited considerable irregularity in response latencies, weak approach
tendencies toward feminine stimuli, and little or no autonomic condition-
ing. These while most interesting, and consistent with the cor-
results,
one would expect for successful avoidance learning, must be
relates that
confirmed on a larger sample before their predictive value can be ade-
quately evaluated.
Feldman & MacCulloch attribute the therapeutic outcomes pri-
component of the treatment procedure. The be-
marily to the avoidant
havioral changes also reflect the effects of classically conditioned aver-
sion to male stimuli and stress-reducing value to feminine cues. The
highly favorable outcomes reported by Feldman and MacCulloch are
particularly striking when one considers that there was no biased selection
of cases, and that supplemental programs designed to develop adequate
heterosexual repertoires of behavior were rarely employed.
Bond & Evans ( 1967 ) successfully eliminated underwear fetishism by
contingent application of aversive consequences in two boys who re-
peatedly raided clotheslines for women's undergarments. The boys were
presented in random order 20 fetishistic and 20 neutral objects and inter-
mittently shocked while removing the fetishistic items. The authors report
338 AVERSIVE CONTROL

that after several sessions the boys lost their interest in female under-
wear and permanently discontinued their clothesline forays. The methods
employed in the above studies appear to hold some promise for modify-
ing deviant sexual behavior, but full evaluation must await controlled
studies.

Removal of Positive Reinforcers

Aversive consequences in the form of physical punishment are seldom

employed as methods for controlling behavior in naturalistic situations.
Removal of positive reinforcers, on the other hand, is a very common
mode of aversive control (Bandura & Walters, 1959; Sears, Maccoby, &
Levin, 1957). This method is exemplified bv negative sanctions in which
persons are deprived for a time of rewards and privileges that are ordi-
narily available, such as use of television, automobiles, or certain facilities;
they are temporarily removed from rewarding situations; they are re-
stricted from going out or participating in enjoyable activities; or they are
temporarilv forced to relinquish other objects and pastimes they value.
Monetary penalties arc also frequently levied as punishments, particu-
larly with adults.
The removal of positive reinforcers as a punishment technique should
be distinguished operationallv from extinction procedures, although both
methods may reduce responding through some common processes. In
extinction, consequences that ordinarily follow the behavior are simply
discontinued; in punishment, behavior results in the application of aver-
sive consequences through forfeiture of positive reinforcers. Thus, in
extinguishing aggression sustained by peer attention, the behavior is
consistently ignored; under the punishment contingency, however, the re-
wards of peer attention are pitted against the negative effects of con-
finement to one's room, loss of television privileges, or some other type
of negative outcome. As is true of other forms of aversive control, the
amount of behavioral reduction produced by punishment through re-
moval of positive reinforcers will depend, among other factors, upon the
relative magnitude of the opposing consequences. The most effective way
of permanently eliminating undesirable responses, of course, would be to
remove the positive conditions maintaining the behavior. In many situa-
tions, however, the rewards dispensed by others cannot be easily con-
trolled. Under these circumstances negative sanctions may be effectively
employed to reduce deviant response patterns and to hold them in check
while alternative modes of behavior are being established and strength-
ened.
 .

Removal of Positive Reinforcers 339

EXPERIMENTAL STUDIES OF PUNISHMENT

BY REINFORCEMENT WITHDRAWAL
Laboratory studies of the efficacy of punishment by reinforcement
withdrawal have been largely confined to procedures in which the occur-
rence of selected responses produces a loss or temporary time-out from
positive reinforcement that was previously available. A number of these
experiments were primarily designed to determine whether time-out pun-
ishment functions as an aversive stimulus analogous to shock stimulation
or other physically hurtful events ( Azrin & Holz, 1966; Leitenberg, 1965 )
The findings generally show that reinforcement time-out consequences
can produce durable reductions in responses if an alternative mode of be-
havior is & Ayllon, 1963), or the
available to the subject (Holz, Azrin,
contingencies maintaining the behavior have been removed (Baer, 1961;
Nigro, 1966).
Results of an illustrative experiment by Baer (1962), however, dis-
close that reductive effects are transitory in the case of behavior that
continues to produce powerful self- reinforcing consequences. Young boys
who displayed persistent thumbsucking were shown
cartoons. Both boys
watched the films together, but interruption of the cartoon was made
contingent upon thumbsucking for one of the subjects, whose response
brought noncontingent film stoppages for the other boy. Halfway through
the experiment their roles were reversed. Contingent interruption of
enjoyable cartoons produced a marked decrement in thumbsucking, but
no decrease occurred when punishment was randomly related to the
behavior. However, during periods when the punishment contingency
was suspended the boys promptly reverted to sucking their thumbs.
The preceding studies demonstrate that brief reinforcement with-
drawal can function analogously to an aversive stimulus in reducing
behavior. Similar reductive effects are achieved by punishment through
response-cost contingencies in which monetary points are lost each time
negatively sanctioned behavior is performed (Elliott & Tighe, 1968;
Weiner, 1962). Laboratory investigations of other behavioral effects of
reinforcement withdrawal provide further evidence that it possesses some
of the functional properties of an aversive event. It has been shown
(Ferster, 1958; Morse & Herrnstein, 1956; Zimmerman, 1963) that be-
havior which prevents or terminates reinforcement withdrawal is effec-
tively maintained in much the same way as avoidance responses are
sustained by their success in preventing the occurrence of physically
painful consequences. Moreover, neutral stimuli that are regularly asso-
ciated with reinforcement withdrawal tend to acquire negative proper-
ties (Ferster, 1960; Ferster, Appel, & Hiss, 1962). Unlike the effects of
physical punishment, however, stimulus events that signal the advent of
340 AVEHSIVE CONTROL

reinforcement withdrawal do not seem to generate disruptive emotional

arousal (Leitenberg, 1965).
Several attempts have been made to compare the relative power of
reinforcement withdrawal and presentation of physically aversive stimuli
in reducing selected response patterns. Tolman & Mueller (1964) em-
ployed different types of punishers with a young rhesus monkey who
developed a marked affinity for one toe, commonly sleeping with it in
his mouth and sucking it while climbing about on two hands and one
foot. Since the monkey had mainly interacted with humans (monkey-
rearing practices would probably not have produced a chronic toe-
sucker), visual contact with people (viewed through a small window)
served as the positive reinforcer. Punishment periods, in which the
window was closed whenever the monkey placed its toe in its mouth and
was opened upon removal of the toe, alternated with nonpunished
periods during which the window remained continually open. The second
phase of the experiment followed a similar procedure except that win-
dow-closing was replaced by unpleasant sounds at the onset of toe-suck-
ing; the sounds terminated as soon as the toe was removed. During
noncontingent punishment the aversive sounds were simply presented
at periodic intervals without regard to the animal's behavior. Punish-
ment through aversive sound stimulation produced a marked reduction
in toe-sucking; recovery was delayed, but once the response recurred it

was emitted at a relatively high rate. On the other hand, punishment

by the removal of social stimuli resulted in less abrupt decrement; re-
covery was more gradual and less complete.
Comparative data are difficult to evaluate when based on an experi-
ment with a single subject, in which potency of the punishing stimuli
1

was not equated, and possible order effects were not controlled. How-
ever, the findings of Tolman & Mueller are essentially corroborated by
McMillan (1967), who assessed the relative efficacy of contingent shock
and temporary withdrawal of rewards in eliminating a concurrently re-
inforced response. Both types of punishers reduced responding to about
the same degree, but the time-out procedure was associated with less

behavioral recovery.
The adjunctive use punishment bv reinforcement withdrawal has
of
certain advantages over physically aversive procedures. As previously
shown, aversive interventions may arouse fear and avoidance of punish-
ing agents, and thus weaken their potential influence. In contrast, meth-
ods that chiefly involve the removal of positive reinforcers not only
generate much weaker emotional effects, but they tend to foster and
maintain orientation toward the agents who control the desired positive
resources. If restoration of the positive reinforcers is made contingent
Removal of Positive Reinforcers 341

upon performance of alternative modes of behavior, rapid behavioral

changes may in fact result.

BEHAVIORAL CONTROL BY WITHDRAWAL

OF POSITIVE REINFORCERS
Reinforcement withdrawal has proved to be an effective means of
managing deleterious behavior that often impedes the person's own de-
velopment and seriously infringes on the well-being of others. If com-
bined with methods that foster constructive alternatives this form of
behavioral control can aid achievement of enduring changes in social
behavior.
In applications of time-out procedures, behaviors that are considered
unacceptable and the consequences that they will produce are clearly
explained in advance. When social exclusion is employed as the negative
outcome, as is usually the case, each transgression results in brief social
withdrawal that is carried out immediately, naturally, and in a firm but
nonhostile manner. If, during the time-out interval, the person continues
to display obstreperous behavior, the period of exclusion is extended
until cessation of the behavior. Under this type of contingency self-con-
trol is quickly established. Since social attention accompanying a dis-
ciplinary intervention may reinforce the preceding deviant behavior, the
change agent minimizes social and verbal interaction as much as pos-
sible while the negative sanction is being applied.
The way in which time-out contingencies may be employed as part of
a broad program is illustrated in the treatment of an autistic three-year-
old boy by Wolf, Risley, & Mees (1964). In addition to grossly retarded
social and verbal development, the boy exhibited violent tantrums that
included head-banging, face-slapping, hair-pulling, and face-scratching.
After a tantrum he was badly bruised and bleeding, and refused to sleep
at night, forcing one or both parents to remain by his bed. Sedatives,
tranquilizers, and physical restraints were applied without success. When
it became clear that refusal to wear eyeglasses (necessitated by the re-

moval of cataractal lenses) might result in ultimate blindness, psychol-

ogists were invited by the hospital staff to devise a treatment program
for him. Ward attendants, and later his parents, carried out the prescribed
program under the guidance and direction of the consultants.
Most of the boy's recurrent problem behaviors, which obstructed any
treatment efforts, were eliminated by a procedure combining extinction
and punishment through reinforcement withdrawal. In modifving the
tantrum behavior, for example, whenever the boy slapped himself and
whined he was placed in his room where he remained until the tantrum
ceased. During the initial phase of treatment the attendants offered
342 AVERSIVE CONTROL

elaborate apologetic explanations while escorting him to his room, and

showered him with attention when he returned. These accompanying
reactions converted the exclusion into a rewarding experience, with the
result that the boy displayed frequent tantrums followed by brief per-
functory trips to the room. A minimum time of 10 minutes in the room
was therefore instituted and the attendants were instructed to minimize
the inadvertent social reinforcement. Under this contingency the fre-
quency of violent tantrums gradually declined and eventually disap-
peared. Eating problems, in which the boy grabbed food from other chil-
dren's plates, threw it about the room, or ate with his fingers, were
rapidly eliminated in a similar manner. The attendants simply removed
him from the dining room for the remainder of his meal for snatching or
tossing food after a warning, and withdrew his plate for a few minutes
whenever he ate with his fingers.
Use of social exclusion sometimes leads to new problems which must
be dealt with. During the period of isolation the child may, for example,
proceed to wreck the furnishings in the room, he may inflict injury upon
himself, or exhibit other harmful behaviors. This problem arose in mild
form during the treatment of the boy's sleeping patterns, which were
extremely irregular and required the extended presence of the parents
or attendants at bedtime. After completion of pleasant bedtime routines,
the boy was put to bed, and left with the door open. If he refused to
remain in bed, the door was closed, which initially gave rise to violent
temper tantrums. These tantrums were controlled by extending the time
that the door remained closed until after the tantrum subsided. Under
the cumulative punishment contingency the tantrums rapidly disappeared
and normal sleeping patterns were established by the sixth night. Simi-
larly, destructive discarding of eyeglasses ceased within five days when
the boy was placed in his room for 10 minutes whenever he threw his
glasses, or if tantrums developed, until they abated.
The foregoing account has emphasized aversive controls. It should be
noted program, positive reinforcement was also exten-
that, in the total
sively employed to get the boy to wear eyeglasses, and he was positively
guided and rewarded for more appropriate behavior patterns. Prior to
treatment, the boy was totally lacking in communicative skills, which
were gradually established through reinforced modeling. The develop-
ment of more rewarding competencies undoubtedly contributed to the

effectiveness of mild punishment.

As the bov's condition improved, contacts with his family and home
were progressively increased. At first the parents visited the hospital for
one hour and observed the way in which tantrums and bedtime problems
were handled by the attendants. Subsequently the parents made several
visits a week, during which an attendant observed and instructed them
Removal of Positive Reinforcers 343

Then he began short home visits accom-

in their handling of their son.
panied by an attendant, followed by progressively longer visits. After
discharge, he no longer manifested severe behavior problems, he had
become increasingly verbal, and the family interactions were consider-
ably more enjoyable. The reinforcement procedures were extensively ap-
plied for several years in a nursery school setting where the boy made
& Wolf, 1966; Wolf,
sufficient progress to enroll in public school (Risley
Risley, Johnston, Harris, & Time-out procedures were used
Allen, 1967 ) .

occasionally in early phases to eliminate tantrum behavior, exhibited

whenever he was asked to perform an instructional task, and to control
hurtful behavior toward other children.
Reference has already been made to several studies in which self-
injurious behavior in autistic children was completely eliminated or
markedly reduced by reinforcement withdrawal. Similar methods have
been shown by Hamilton, Stephens, & Allen (1967) to be uniformly
successful in eliminating injurious aggressive and self-destructive be-
havior in severely retarded adolescents. In each instance, the individual
was physically confined to a chair in a time-out area for a fixed period
following the occurrence of injurious behavior. In one case, for example,
a girl beat her head and back against the wall a total of 35,906 times
during four 6-hour observations — about once every three seconds! When
the time-out contingency was later put in effect, head-banging precipi-
tously dropped to a negligible level of 7, 2, 0, 1, for five successive weeks
and never reappeared during nine months of follow-up study. Of con-
siderable import, both from a clinical and ethical standpoint, is that after
the continual self-mutilating behavior was eliminated the retardates par-
ticipated with evident enjoyment in daily social and recreational ac-
tivities. The authors make the interesting observation that, following re-
moval of pervasive deviant behavior, individuals begin to make contact
with potentially rewarding aspects of the environment that were always
available, which automatically reinforce beneficial modes of behavior.
Once a self-regulating interaction between behavior and environmental
contingencies is initiated, widespread changes may result even though
alternative behaviors were never deliberately established.
Several additional case reports have been published which furnish
quantitative data indicating the efficacy of time-out procedures in modi-
fying diverse behavioral disorders. Sloane, Johnston, & Bijou (1968)
rapidlv eliminated extreme aggressiveness in a preschool boy, and Bur-
chard & Tyler (1965) reduced the antisocial behavior of a delinquent
adolescent by contingent social exclusion. This procedure has also been
employed by Tyler & Brown ( 1967 ) on a group basis with institutional-
ized delinquents. The staff of a rehabilitation center was unable to check
aggressive, disruptive behavior of delinquent boys that was highly trou-
344 AVERSIVE CONTROL

blesome during recreational periods but not serious enough to warrant

severe sanctions. A program involving short periods of mild punishment
for misbehavior was instituted to control the group. Every time a boy
displayed offensive behavior he was immediately placed in a room in
the cottage for 15 minutes without any threats, invective, sermonizing,
or negotiations for second chances. Consistent with previous findings,
brief social withdrawal produced a marked decline in the incidence of
disruptive behavior. In order to determine whether punishment had
lasting effects, the aversive consequences were discontinued; instead,
the staff reprimanded the boys verbally and occasionally closed the
recreational facility temporarily when their behavior got completely out
of hand. During the period when negative sanctions were removed there
was a rapid increase in the rate of offenses. However, when the punish-
ment contingency was subsequently reinstated disruptive behavior sub-
sided with equal rapidity and remained at a low level. Apparently the
boys were quick to discriminate the changes in conditions of reinforce-
ment and regulated their behavior accordingly. The aversive control thus
proved to be an exceedingly effective management technique but, unlike
previous findings, it produced no enduring changes in behavior.
The conflicting results are most likely due to the types of reinforce-
ment systems created by peers in institutions for delinquents. An ob-
servational study by Buehler, Patterson, & Furniss (1966) revealed that
delinquent peers provide extensive positive reinforcement for antisocial
behavior, whereas they typically punish attitudes and behavior that con-
form to institutional norms. If negative sanctions applied by staff mem-
bers are strong enough to outweigh peer influences, socially conforming
behavior may be achieved and sustained as long as the institutional sanc-
tions remain in effect. However, when aversive controls are removed,
peer reinforcement practices will quickly reinstate deviant patterns of
behavior. To achieve stable changes in behavior would require modifica-
tions of the contingency systems practiced by peers like those, for ex-

ample, that Cohen (1968) successfully accomplished by placing delin-

quents' livelihood within the institution on a self-determining basis. When
contingencies are arranged so that constructive behavior is adequately
reinforced and antisocial behavior has limited pay-off, antisocial person-
alities are less inclined to seek their rewards from outwitting staff mem-

bers or from perturbed reactions of others to crisis-producing trans-

gressions (Colman & Baker, 1968).
"Systematic exclusion" is employed in school settings
increasingly
(Chapman, 1962; Kiersey, 1958) as a means of controlling seriously dis-
turbing behavior in children after other available methods have failed.
In this program the child, his parents, his teacher, the school psychologist,
and the principal meet as a group to arrange explicit contingencies be-
Removal of Positive Reinforcers 345

tween the child's disruptive conduct and its social consequences. At this
meeting, each participant's role is specifically outlined. It is explained
that the school cannot permit a child continually to disrupt the educa-
tional activities ofan entire class. The child's help is enlisted to control,
as best he can, behavior that has disturbing effects on all concerned.
Whenever he displays behavior that exceeds certain clearly defined
limits, the teacher must ask him to leave school for the remainder of the

day. In order to remove any inadvertent positive reinforcement of the

deviant behavior, the teacher is instructed not to threaten, coax, urge, or
scold the child, nor is she to engage in persuasive attempts to alter his
behavior. Rather, the previously agreed-upon sanctions are applied im-
mediately, straightforwardly, and in a matter-of-fact way. By having the
teacher apply prearranged contingencies in a consistent and objective
fashion, the child is more
likely to regard the disciplinary interventions
consequences of his behavior, than as arbitrary or
as natural, inevitable
malevolent treatment by his teacher. If the child should refuse to leave
when he is requested, the principal removes him and the period of ex-
clusion is automatically extended.
When the child arrives home, the parents are instructed to keep him
on the premises during the remaining school hours, but to refrain from
punishing, scolding, or applying other disciplinary measures. The psy-
chologist's function is to structure and to supervise the program, to
offer the participants positive assistance when needed, and to decide
when the contingencies are to be discontinued.
The authors report that systematic application of exclusion conse-
quences produces rapid and lasting reduction in chronically disruptive
behavior, but no quantitative data are presented, nor there any specifi-
is

cation of the conditions under which this method most efficacious. It

is

is apparent that an exclusion procedure will produce no behavioral

changes, or may even augment deviant responsiveness, if the situation
from which a person has been removed is unrewarding or highly un-
pleasant. Under these circumstances, withdrawal has positively rein-
forcing rather than punishing effects. It has been shown in laboratory
studies (Herrnstein, 1955), for example, that behavior which produces a
temporary time-out from reinforcement increases in frequency if the
conditions of reinforcement that the behavior avoids are relatively un-
favorable.
The effectiveness of exclusion procedures can probablybe greatly
enhanced if, punishment contingency, the child is pro-
in addition to the
vided with certain privileges and rewards for each class period during
which he does not engage in disruptive behavior. It would also be of
interest to explore the rate at which deviant behavior decreases as a
function of varying durations of exclusion, the types of situations to
346 AVERSIVE CONTROL

which the child is removed, and the attractiveness of the setting from
which he is withdrawn. Findings of studies employing time-out contin-
gencies to control grossly deviant behavior indicate that much briefer
periods of exclusion might work as well, or even better, than full-day
suspensions from classroom activities.

Summary
The present chapter has discussed the processes whereby response
patterns are eliminated through the use of punishing stimuli. Punishing
consequences may involve either removal of positive reinforcers or
presentation of aversive events. Punishment is believed to achieve its

reductive effects by producing conditioned fear that elicits inhibitory

behaviors, or by facilitating the appearance of responses that are incom-
patible with and, therefore, capable of supplanting the punished be-
havior. The degree by punishment is largely a function
of control exerted
of the intensity, duration and distribution of aversive consequences, their
temporal relation to the behavior to be modified, the strength with which
punished responses are concurrently reinforced, the availability of alter-
native modes of behavior for securing rewards, the level of instigation
to perform the negatively sanctioned behavior, and the psychological
characteristics of punishing agents.
Several different theories have been proposed concerning the locus
of aversive control. Environmental stimuli that are regularlv associated
with punishing experiences may become conditioned elicitors of fear and
have suppressive effects on behavior. A second interpretation is that
proprioceptive stimuli arising from the punished behavior itself acquire
negatively reinforcing properties through association with punishing
experiences on previous occasions. Although response-contingent punish-
ment produces reductive effects, evidence that behavioral inhibitions
can be readily acquired and extinguished under curare or through vicari-
ous experiences without any motoric responding seriously challenge pe-
ripheral views that aversive control resides mainly in response-produced
cues. Rather, these findings lend weight to the theory that the effects of
punishment are mediated through central controlling mechanisms. On the
basis of previous response consequences, experienced either directly or
vicariouslv under differing circumstances, individuals infer the likelihood
that a given course of action will produce punishing outcomes. Symbolic
representation of these anticipated consequences can exercise some de-
gree of control over overt responsiveness. The same behavior may, there-
fore, be freely expressed or inhibited in similar environmental situations
as a result of intricate discriminations of differences in reinforcement con-
tingencies.
Summary 347

Aversive forms of control have been primarily employed to eliminate

persistent responses that are automatically self-reinforcing upon occur-
rence, to reduce the incidence of seriously disturbing patterns of behavior
forwhich the maintaining positive reinforcements cannot be identified
or readily eliminated,and to bring rapidly under control responses that
have injurious consequences for the performer or others. While findings
of controlled studies are still somewhat limited, preliminary results of
applications of aversive procedures to the modification of persistent
deviant behavior are considerably more encouraging than laboratory
findings would lead one to expect. Chronic self-mutilating behavior,
debilitating occupational cramps of long standing, stuttering, antisocial
aggression, and deviant patterns of sexual behavior have been substan-
tially reduced or eliminated by methods relying upon contingent applica-

tion of negative consequences.

The relative ineffectiveness of punishment in producing durable re-
ductive effects in laboratory situations has probably resulted from the
fact that, withfew exceptions, the punished response constitutes the sole
means Hence, it comes as no surprise that in single-
of securing rewards.
response situations punished behavior is performed for some time even
though it incurs aversive consequences, and it often reappears when
punishment is discontinued. In contrast, people generally have numerous
options available in everyday life. Even though punishment may only
temporarily inhibit dominant responses, during the period of suppression
alternative modes of behavior may be strengthened sufficiently to sup-
plant the original response tendencies. Moreover, brief cessation of be-
havior that is highlv disturbing to others eventually draws positive re-
actions from appreciative associates. The new conditions of reinforcement
created by cessation of deviant responses may foster and maintain their
relinquishment. By the same token, rodents or pigeons that were sud-
denly showered with food pellets and increased positive attention from
relieved comrades, after inhibiting a socially distressing bar-press re-
sponse, would undoubtedly abandon the cherished bar more rapidly than
they would if no alternative activities were available and response in-

hibition produced no outcomes other than the removal of aversive stimu-

lation and loss of food rewards. For these and other reasons, the social
implications of laboratory findings regarding aversive control must be
accepted with reservations.
Some of the cited negative by-products of aversive control can be
avoided or reduced to a large extent by the use of discrimination pro-
cedures in conjunction with punishing consequences. Moreover, punish-
ment based upon the removal of positive reinforcers ordinarily reduces
undesired behavior without producing fear learning or avoidant behavior.
This procedure also tends to maintain strong approach tendencies toward
348 AVERSIVE CONTROL

change agents, and, when reinstatement of approval, possessions, or

privileges is made conditional upon more appropriate behavior, it pro-
vides more positive support and guidance than mere administration of
negative outcomes.
Lasting elimination of detrimental behavior can be most effectively
facilitated bv punishment competing response patterns are simul-
if

taneouslv rewarded. Negative sanctions may therefore be successfully

employed to hold undesired responses in check while alternative modes
of behavior are being established and strengthened. Another means of
weakening undesired behavior, reiving upon extinction operations, is
discussed in the next chapter.

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CHAPTER G Extinction

When reinforcement for a learned response is withheld, individ-

uals will continue to exhibit that behavior for a limited time. Under re-
peated nonreinforcement, however, the behavior decreases and eventually
disappears. This decline in responsiveness as a function of nonrewarded
repetition of a response is called extinction. In naturally occurring situa-
tions response patterns sustained by positive reinforcement are frequently
eliminated simply by discontinuing the rewards that ordinarily produce
the behavior. Avoidance behavior, which is stronglv maintained by its

success in forestalling anticipated aversive experiences, can similarly be

extinguished if, when it is prevented from occurring in the presence of
threatening stimuli no adverse consequences are engendered. With re-
peated nonreinforced exposure to subjective threats, protective behavior
that is inappropriate to the altered circumstances is eventually aban-
doned. In both instances the extinction process is essentially the same,
although the procedures vary according to the nature of the maintaining
consequences.

Interpretations of the Extinction Process

The rate of extinction is governed by a number of factors, among them

the irregularity with which the behavior was reinforced in the past, the
amount of effort required to perform it, the level of deprivation present
during extinction, the ease with which changes in conditions of reinforce-
ment can be discerned, and the availabilitv of alternative modes of re-
sponse. Because of the diversity of controlling variables, a number of dif-
ferent theoretical conceptualizations of extinction have been proposed
356 EXTINCTION

(Kimble, 1961), each emphasizing a separate aspect of the phenomenon.

These formulations and their supporting evidence are reviewed next.

CONDITIONED INHIBITION THEORY

According to Hull's (1943) theory of extinction, repeated nonrein-

forced elicitation of an effortful response generates an inhibitory state
analogous to fatigue, which tends to counteract the recurrence of the
it presumably
response. Since this reactive inhibition dissipates with time,
exerts only a temporary suppressing influence on behavior. Some support
for the fatigue hypothesis is provided by the well-known phenomenon of
spontaneous recovery. When a response has been initially extinguished,
it tends to reappear, though typically at reduced strength, with the pas-

sage of time, suggesting the dissipation of a transitory form of inhibitory

control. The fact, however, that the amount of recovery following succes-
sive extinctions becomes progressively smaller until it eventually reaches
zero clearly indicates that additional processes are involved. Therefore,
Hull postulated that in addition to response-produced inhibition, extinc-
tion also involves the production of conditioned inhibition. The enduring
decrement in behavior was explained as follows: When reactive inhibi-
tion reaches a high level, cessation of activity alleviates the aversive mo-
tivational state, and, consequently, any stimuli associated with stoppage of
the response become conditioned inhibitors. In this formulation, fatigue
reduction resulting from the termination of behavior that produces aver-
sive stimulation constitutes the primary reinforcing event.
would follow from inhibition theory that any conditions which in-
It

crease the amount of relative inhibition should facilitate extinction. The

two factors that have been investigated most intensively in this regard
are the rate of response evocation and the amount of effort required to
perform the behavior. In general, research findings (Kimble, 1961) indi-
cate that there is little diminution in response when extinction trials are
widely distributed over time, whereas extinction occurs rapidly with
massed response evocation. The evidence concerning the effect of effort-
fulness on extinction is somewhat equivocal, but the majority of investi-
gations has shown that performances involving a large expenditure of
effort extinguish more rapidly than those requiring little exertion.
Although a fatigue theory accounts for certain extinction phenomena,
there are many facts that cannot be adequately explained in terms of
response-generated inhibition (Gleitman, Nachmias, & Neisser, 1954; Kim-
ble, 1961; Mowrer, 1960). First, both reactive and conditioned inhibition
depend upon repeated response evocation. There is ample evidence, how-
ever, that nonreinforced performance of behavior is a facilitative, but not
a necessary, condition for extinction. These findings are based on different
paradigms, in each of which responses are either partially or totally ex-
Interpretations of the Extinction Process 357

tinguished without ever being performed. In "latent extinction" studies,

for example, animals that are merely placed directly in the empty goal
box a number of times subsequently extinguish instrumental responses
more rapidly than control groups placed in other situations lacking re-
wards (Deese, 1951; Seward & Levy, 1949; Moltz, 1955). Extinction of
avoidance responses likewise can be greatly facilitated independently of
skeletal responding by repeatedly presenting a conditioned aversive stim-
ulus to subjects who are muscularly immobilized by curare (Black, 1958).
Moreover, autonomic responses, which are not known to generate fatigue
states, also undergo extinction with repeated nonreinforced elicitation.
Nonresponse extinction is perhaps most clearly revealed by experiments
of vicarious extinction (Bandura, 1968) in which intractable avoidance
responses of long standing are completely eliminated on the basis of ob-
servational experiences alone.
The limitation of explanations of extinction in terms of response-pro-
duced inhibition is also apparent in investigations of resistance to extinc-
tion as a function of variations in the percentage, magnitude, and serial
patterning of reinforcement, and of changeable acquisition conditions.
Though the terminal levels of learning achieved under constant and vari-
able circumstances are essentially identical, increasing the irregularities
of reinforcement and training conditions increases subsequent resistance
to extinction. Finally, insome instances nonreinforced elicitation may
result in extremely rapid or even single-trial extinction before much re-
active inhibition could possibly develop. The overall research evidence
thus indicates that, while response-produced inhibition may be one de-
terminant of extinction, additional processes are undoubtedly involved.

COMPETING-RESPONSE THEORY
In the interference interpretation of extinction (Guthrie, 1935; Estes,
1959), the decrement of a response during nonreinforced evocation re-
sults from the appearance of incompatible responses strong enough to
supersede the ongoing behavior. These competing responses may be
linked either to the same stimuli or to different stimulus events. In the
latter case, response diminution primarily reflects external inhibition
brought about by simultaneous occurrence of new prepotent stimuli that
evoke antagonistic tendencies, or by attentional shifts to other distinctive
features of the environment. In the former instance, which essentially in-
volves a counterconditioning process, extinction results from the develop-
ment of new incompatible responses to the same stimuli, or the reappear-
ance of interfering responses that have been previously learned.
Any conditions, apart from the omission of reinforcement, that reduce
the probability of occurrence of the original behavior will facilitate the
appearance of competing response patterns. Some of these conditions,
358 EXTINCTION

originally proposed by Guthrie (1935), include introducing the control-

ling stimuli at such reduced intensity that they fail to evoke the undesired
behavior; repeating the controlling stimuli after the original responses
have been inhibited through fatigue so that new behavioral tendencies
can be learned; and presenting the stimuli in the context of more power-
ful stimulus events that evoke incompatible responses of sufficient strength
to override the undesired behavior. Response-prevention techniques rely-
ingupon physical barriers (Carlson & Black, 1959; Solomon, Kamin, &
Wynne, 1953) also provide a means of ensuring the occurrence of alterna-
tive responses in the presence of conditioned aversive stimuli. In a theory
of extinction emphasizing conditioned relaxation processes, Denny and
his associates (Denny & Weisman, 1964; Weisman, Denny, Piatt, & Zer-
bolio, 1966) contend that termination or omission of aversive stimulation
automatically produces relaxation responses that generalize backward to
the fear-provoking situation and compete with avoidance behavior.
Given the emergence of competing responses, whatever their source,
the nature of the reinforcement that maintains new behavioral tendencies
within the extinction situation remains to be explained. It will be recalled
that reduction in fatigue associated with the cessation of effortful behav-
ior was assumed in Hullian theory to reinforce inhibitory responses. Some
research evidence suggests that the termination of aversive emotional ef-
fects generated either bv fear-producing stimuli or by repeated nonreward
may also provide supporting reinforcement.
Page reports a series of experiments that illustrate the extinction of
avoidance behavior through the development of incompatible responses. 1

In the initial study (Page & Hall, 1953), animals learned to avoid shocks
administered in one compartment of a shuttle box by escaping into a neu-
tral chamber. The avoidance responses were then extinguished in two
different ways: Control animals were given regular extinction trials in
which they performed avoidance responses until they stopped running
from the threatening compartment; the experimental subjects were de-
tained in the fear-provoking box for the first five trials and then given
traditional extinction trials. The barrier group extinguished approximately
three times as fast as the controls.
In order to determine if elimination of avoidance responses in the first
study was due to the acquisition of competing protective responses or to
neutralization of the fear-evoking stimuli, Page ( 1955 ) conducted a sec-
ond experiment that proceeded in the following manner: The initial phase
of the study, which duplicated the procedure of the earlier experiment,
similarly demonstrated that animals first detained in the threatening com-
partment subsequently extinguished much more rapidly than controls
given regular extinction trials. In the second phase of the study, designed
to measure the aversive properties of the conditioned stimuli, the animals
Interpretations of the Extinction Process 359

were placed in the neutral chamber after being deprived of food and the
speed with which they entered the shock compartment for food was meas-
ured. In addition, a control group of animals never exposed to shock stim-
ulation was tested. The approach response latencies averaged approxi-
mately 25, 60, and 110 seconds for the control, regular extinction, and
response-prevention groups, respectively. It seems clear from the two sets
of data that under forced exposure to fear-arousing stimuli a dominant
mode of avoidance behavior was eliminated, but the animals nevertheless
retained some fear of the negative compartment. These findings indicate
that the threatening stimuli continued to generate aversive stimulation
and whatever protective responses the animals adopted in the situation
were reinforced by the omission of painful shocks.
In the extinction of avoidance behavior, absence of expected adverse
consequences provides a powerful source of reinforcement for competing
responses. In the elimination of behavior previously maintained by posi-
tive reinforcement, reduction of aversive emotional arousal produced by
omission of anticipated rewards may likewise constitute the main rein-
forcement for antagonistic responses. According to the frustration inter-
pretation of extinction (Amsel, 1962; Wagner, 1966), nonrewarded repe-
tition of responses generates aversive arousal capable of evoking conflict-
ing response tendencies that interfere with the ongoing behavior. By sup-
planting the nonrewarded behavior the competing responses reduce dis-
turbing emotional arousal and are thereby negatively reinforced. Consist-
ent with these theoretical speculations, it has been shown that nonreward
produces aversive effects analogous to punishment operations. Stimuli
previously associated with nonreward acquire arousal properties (Wag-
ner, 1963), their presence attenuates responding (Amsel & Surridge,
1964), and escape from cues signifying nonreward can reinforce new per-
formances (Wagner, 1963).
The appearance of new behavior that is antagonistic to nonreinforced
responses will undoubtedly accelerate the extinction process. In many
instances, however, rapid elimination of nonrewarded behavior results
from the development of expectations about the future probability of re-
inforcement rather than from the gradual conditioning of incompatible
responses to the same controlling stimuli. The discrimination theory of
extinction, which reviewed next, treats extinction
is as a centrally, rather
than a peripherally, mediated phenomenon.

DISCRIMINATION THEORY

Interpretations of extinction in terms of discrimination emphasize the

and cognitive processes. According to this formula-
role of observational
tion, behaviorperformed for some time after reinforcement has been
is

discontinued because the subject has failed to recognize that previous

360 EXTINCTION

reinforcement contingencies are no longer in effect. It would follow from

this hypothesis that variables which reduce the discriminability between
prior conditions of reinforcement and those of extinction should prolong
nonrewarded responding.
Numerous experiments, in which the difference between acquisition
and extinction has either been systematically varied or is easily inferable,
provide supporting evidence for the discrimination hypothesis. Behavior
established under intermittent reinforcement, for example, is more resist-

ant to extinction than responses following continuous reinforcement.

When rewards are suddenly discontinued, it is reasonable to suppose that
persons who have been reinforced each time they respond will recognize
the change more readily than those who have always been reinforced
irregularly. The lower the frequency of reinforcement, the less discernible
are the changes. It is perhaps for similar reasons that, even under the
same degree of partial reinforcement, behavior that has been rewarded
irregularly extinguishes less rapidly than responses established by a regu-
lar, predictable schedule of intermittent reinforcement (Ferster & Skinner,
1957; Kimble, Mann, & Dufort, 1955; Longenecker, Krauskopf, & Bitter-
man, 1952). Moreover, behavior is highly resistant to extinction following
training that includes long series of consecutively nonreinforced trials
(Slamecka, 1960). The latter conditions would make it particularly diffi-

determine when extinction has begun.

cult to
Discriminations can be formed not only on the basis of the frequency
and patterning of reinforcing stimuli, but also in terms of other distin-
guishable features of the environment that signify a change in reinforce-
ment practices. The presence during extinction of stimuli that have pre-
viously signified that appropriate performance will be reinforced results
in faster extinction than if the positive discriminative cues are absent
(Elam, Tyler, & Bitterman, 1954; McNamara & Paige, 1962; Slamecka,
1960). These findings, which are contrary to secondary reinforcement
theory, are in accord with the discrimination hypothesis. If responses in
the presence of stimuli that formerly signaled a high likelihood of reward
are no longer reinforced, it is made apparent that the original reinforce-
ment contingencies have been discontinued. However, Longstreth (1966)
interpreted similar findings with children in terms of frustration theory,
which holds that when a stimulus previously paired with reward is sub-
sequently presented alone it generates aversive emotional responses that
interfere with ongoing behavior.
Irregular conditions of learning would also be expected to increase
the complexity of discrimination and hence to prolong the persistence of
nonrewarded performances. In several experiments, response patterns
that are acquired under variable stimulus conditions (e.g., gross changes
in drive states, environmental stimuli, required performances, and in the
Interpretations of the Extinction Process 361

frequency, magnitude, and delay of reinforcement) are extinguished un-

der unchanging circumstances. Results of these studies disclose that re-
sistance to extinction increases with increased variability in conditions of
learning (McClelland & McGown, 1953; McNamara & Wike, 1958; Mack-
intosh, 1955).
While the above findings are consistent with the discrimination hy-
pothesis, they can be adequately explained without the necessity for
invoking symbolic processes. Under variable circumstances different types
of responses are learned to a variety of stimuli. It would therefore require
a longer time to extinguish a varied assortment of responses than a single
response made to a limited number of stimuli presented under invariant
conditions. The results of a study by Brown & Bass (1958), however,
bring into question both the discrimination and the multiple-learning in-
terpretations. In this experiment subjects were both trained and extin-
guished under constant or variable stimulus conditions. Persistence of
non-rewarded behavior was primarily affected by variation in stimulation
during extinction rather than by the degree of contrast between acquisi-
tion and extinction that should facilitate discrimination, or by the amount
of change in stimulus conditions during acquisition that should promote
more generalized learning.
The potentially influential role of observational experiences in extinc-
tion is disclosed by studies alluded to earlier, employing nonresponse
extinction procedures. Mere observation that formerly rewarding situa-
tionsno longer contain rewards facilitates the elimination of instrumental
approach responses. Moreover, the larger the number of positively dis-
criminative stimuli retained in the situation in which rewards were pre-
viously dispensed, the faster the response extinction (Denny & Ratner,
1959; Moltz, 1955).
While the efficacy of observational extinction procedures has been
well established under a variety of conditions (Deese, 1951; Dyal, 1963;
Koppman & Grice, 1963; Seward & Levy, 1949; Wilson & Dyal, 1963), the
response decrements may be interpreted in several ways. One possible
explanation is in terms of cognitive processes. Repeated observation that
formerly available rewards are now absent undoubtedly conveys informa-
tion to the observer about the altered conditions of reinforcement. How-
ever, when environmental stimuli that signify the reinforcement contin-
gencies associated with given behavior are also removed, the observed
situation bears little and hence provides little information
resemblance to,

about, the original one. There no reason to suppose that under such
is

circumstances expectations regarding the customary reinforcement con-

tingencies should be modified to any significant extent. Repeated exposure
to formerly rewarding stimulus contexts may also extinguish the second-
ary reinforcing properties of environmental stimuli that had been regu-
362 EXTINCTION

larly associated with primary reinforcement (Moltz & Maddi, 1956). The
latter outcome would likewise serve to hasten the extinction process.
The research cited above has been primarily confined to infrahuman
subjects; perhaps for this reason fractional anticipatory response mecha-
nisms and associated proprioceptive cues have frequently been invoked
as explanatory factors. In the case of humans, who possess superior dis-
criminative and symbolic capacities, the informative value of observa-
tional experiences regarding reinforcement contingencies would assume
considerably greater importance in eliminating nonreinforced behavior.
According to this more cognitive view, extinction primarily reflects the
operation of inhibitory sets rather than the loss of behavior or its discon-
nection from previous controlling stimuli. For this reason behavior can be
discarded even without having been performed on the basis of observa-
tion that such behavior is no longer reinforced, it can be promptlv re-
placed by more utilitarian modes of response, and readily reinstated
whenever the original reinforcement contingencies are restored.
The theory of cognitive control of extinction is supported by several
lines of evidence, some of which are discussed fully in the concluding
chapter. Extinction is greatly facilitated by awareness that the usual con-
sequences have been discontinued; and, conversely, it is retarded under
diverting instructions that reduce discriminability of the change in rein-
forcement (Spence, 1966). In fact, when presentation of reinforcement is

embedded in a diverting task that ensures exposure to stimulus events but

prevents recognition of their contingent relationship, the rate of extinc-
tion is the same for responses originally acquired under either partial or
continuous reinforcement.
The common finding that irregular reinforcement produces behavior
that is more resistant to extinction than continuous reinforcement is also

disconfirmed when discriminabilitv between acquisition and extinction is

equalized by informing subjects at the onset of extinction that painful
stimuli will not be presented on subsequent trials (Bridger & Mandel.
1965). As can be seen from Figure 6-1. the partial reinforcement effect
was obtained for noninformed subjects but induced awareness essentially
abolished conditioned autonomic responses, regardless of whether they
were acquired on a 100 percent or 25 percent schedule of reinforcement.
Numerous other investigations of svmbolic control of extinction reveal
that persons who are simply informed that reinforcement has been dis-
continued displav a precipitous decrement in both conditioned autonomic
responses (Cook & Harris, 1937; Grings & Lockhart, 1963; Xotterman,
Schoenfeld, & Bersh, 1952; Wickens, Allen, & Hill, 1963) and instrumental
avoidance behavior (Lindley & Mover, 1961; Mover & Lindley, 1962),
whereas uninformed subjects show a more gradual decline in responsive-
ness.
 •

Interpretations of the Extinction Process 363

6.30 Partial -noninformed •

Continuous-noninformed »
Partial -informed «»

Continuous -informed •— — —•—

4 5 6
Extinction Trial

Figure 6-1. Rate of extinction of GSRs as a function of awareness and the

schedule of reinforcement employed during the acquisition phase. Bridger &
Mandel, 1965.

The influence of verbalized contingencies in facilitating extinction

presupposes a history of differential reinforcement on the basis of which
verbal cues become reliable indicants of probable response consequences.
In cases where social agents or verbal communications are considered
untrustworthy, where the real or imagined consequences of certain ac-
tions are highly injurious, and where environmental events are not en-
tirely predictable, verbal control of extinctionis apt to be relatively weak.

It is extremely unlikely, for example, that informing snake-phobic persons

that a particular reptile is harmless will result in any appreciable decrease
in snake avoidance behavior.
The powerful symbolic control over emotional responses developed
under laboratory conditions contrasts sharply with the refractory quality
of fears acquired through natural experiences. The difference may arise
partly from the degree of control exercised by change agents over the
feared events. By turning off the shock apparatus or removing shock
electrodes, experimenters can completely remove any potential threats
from the situation. In contrast, naturally feared objects that are ordinarily
innocuous can nevertheless occasionally produce hurtful effects despite as-
364 EXTINCTION

surances to the contrary. Even harmless snakes or dogs do bite. However,

thisexplanation does not fully reconcile the divergent findings because
snake phobics experience considerable emotional disturbance to pictures
of reptiles (Bandura, Blanchard, & Ritter, 1968) while acknowledging
that the agitation is groundless because pictorial snakes cannot possibly
inflict any injury. The would seem to indicate that emo-
overall evidence
tional behavior may be by two different stimulus sources. One
controlled
is the emotional arousal self-generated by symbolic activities in the form
of emotion-provoking thoughts about frightening or pleasurable events.
The second is the response evoked directly by conditioned aversive stim-
uli. The former component would be readily susceptible to extinction

through cognitive restructuring of probable response consequences,

whereas elimination of the latter component may require repeated non-
reinforced exposure to threatening events either directly or vicariously
(Bridger & Mandel, 1964). The differential rate of extinction of emotional
responses arising from symbolic self-stimulation and from direct external
evocation are discussed more fully in later considerations of symbolic
regulation of behavior. Laboratory investigations in which verbal reports
of experimenters are accorded high credulity, the aversive stimuli are of
comparatively weak intensities, and experimenters have full control over
the occurrence of aversive events, may therefore provide an insufficient
explanation of the process of extinction, particularly as it applies to re-
fractory avoidance behavior.

COGNITIVE DISSONANCE THEORY

Lawrence & Festinger (1962) have proposed an explanation, in terms

of cognitive dissonance processes, of why behavior been originally
that has
acquired under relatively unfavorable conditions of reinforcement may be
especially resistant to extinction. According to this interpretation, when a
subject is induced to engage in behavior that is insufficiently rewarded,
an aversive state of cognitive dissonance is created by the conflicting in-
formation of having expended effort for inadequate recompense. Under
circumstances where the subject cannot easily cease responding, the re-
sultant dissonance is reduced by enhancing the attraction or value of the
activity to justify continuation of the behavior. After a subject has per-
suaded himself that he engaging in the behavior it becomes
really likes
more resistant to extinction when extrinsic rewards are later removed.
Several different types of reinforcement conditions are identified as
especially prone to induce dissonance during the period of acquisition.
Behavior that frequently goes unrewarded, that requires high expenditure
of effort, and for which rewards are delayed, would be most resistant to
extinction. Lawrence & Festinger have demonstrated in a series of
well-designed experiments with infrahuman subjects that responses es-
Interpretations of the Extinction Process 365

tablished under these less advantageous conditions are indeed more per-
sistent than those that are rewarded continuously, immediately, and at
little expenditure of effort.
Other investigators have, of course, attributed the influence on extinc-
tion of these reinforcement variables to the operation of other mechanisms
involving discrimination processes, frustration effects, and countercondi-
tioning of competing responses. These alternative theories, therefore, need
to be tested under conditions where they make opposing predictions. For
example, resistance to extinction following both a highly variable and an
entirely regular schedule of the same total partial reinforcement has been
studied. The absolute number of unrewarded trials is identical in both
conditions; consequently, subjects are provided with the same number of
occasions on which dissonance could be aroused and presumably reduced.
Dissonance theorv would predict the same rate of extinction under both
conditions, whereas discrimination theorv would lead one to expect the
unpredictable schedule to produce the more durable behavior. Bitterman
and his associates have conducted several such experiments in which
subjects are reinforced on 50 percent of the training trials; for one group
the rewards are administered haphazardly, while subjects in the other
group are regularly reinforced on odd-numbered trials. Behavior is much
more resistant to extinction (Tyler, Wortz, & Bitterman, 1953) after ran-
dom 50 percent reinforcement than after regularly alternated 50 percent
reinforcement. Analogous results are obtained in extinction of autonomic
reactions which do not involve performance of any effortful responses
( Longenecker, Krauskopf, & Bitterman, 1952). Moreover, increased train-
ing, which provides more dissonance-reducing opportunities, facilities ex-
tinction following alternating reinforcement, but it has no effect on be-
havior rewarded according to an unpredictable pattern (Capaldi, 1958).
Whether or not findings of the type reported above contradict dis-
sonance theory cannot be resolved as long as there exists some ambiguity
as to the conditions most likely to produce high dissonance. Do subjects
who repeatedly perform effortful behavior knowing that it is unlikely to
be rewarded experience more or less dissonance than if they had expected
rewarding outcomes? The authors assume that the latter condition is more
dissonance producing. It would seem, however, that subjects in the former
condition are exhibiting the more irrational behavior and would, there-
fore, experience greater pressure to justify their actions by persuading
themselves that they really enjoy the activity. On the other hand, subjects
who performed because they expected to be rewarded have adequate
justificationwithout needing to endow the activity with additional attrac-
tions. If reluctantperformance of an action is accepted as behavioral evi-
dence for the existence of dissonance ( Lawrence & Festinger, 1962 ) then
subjects trained under alternating reinforcement in the above experiments
366 EXTINCTION

experienced more severe dissonance. As training progressed they contin-

ued to perform the behavior on unrewarded trials albeit with evident
hesitancy.
The literature contains other findings that cannot be adequately ac-
counted for by either dissonance theory or the alternative formulations.
Young ( 1966 ) measured resistance to extinction as a function of variations
in the effortfulness of the response, the frequency of reward, and the
number of unrewarded trials. The results showed that, under conditions
where animals experienced many unrewarded trials during acquisition,
the more effort required to perform the response, the more rapidly it was
extinguished, whereas the opposite relationship was obtained when the
training period included fewer nonreinforced trials. To further complicate
the picture, no relationship was found between effortfulness of response
and resistance to extinction for subjects trained under continuous rein-
forcement.
It is apparent from the experimental findings reviewed in the preced-
ing sections that no single theoretical conceptualization can encompass
adequately all of the diverse variables governing decrements in behavior
when reinforcement is withdrawn. A person may cease responding for
many different reasons and, therefore, a comprehensive explanation of
extinction phenomena requires a multi-process theory.

Extinction of Positively Reinforced Behavior

It was previously shown how persistent deviant behavior is often main-

tained by intermittent positive reinforcement. Such contingencies are
most likely to arise under conditions where desirable responses and even
mild forms of deviant behavior are typically disregarded. On the other
hand, the more persistent or intense responsiveness produces aversive
consequences for others, who unwittingly reinforce the troublesome be-
havior in their efforts to terminate it. Because of its aversive quality,
deviant behavior readily creates conditions that are likely to perpetuate
it. It is true, of course, that troublesome activities are also frequently

punished, but a reinforcement schedule combining intermittent reward

with occasional punishment generally results in behavior that is resistant
to change. Moreover, many interventions intended as punishments actu-
ally serve as positive reinforcers that maintain undesirable behavior. Self-
defeating contingencies usually go unnoticed because people tend to
see only the immediate results, whereas they rarely systematically
evaluate the changes produced by their practices, or the long-term effects
that their behavior may have on others. Therefore, detrimental social sys-
tems are often unknowingly created and mutually sustained, because
deviant behavior is rewarded by the attention it commands and ineffec-
Extinction of Positively Reinforced Behavior 367

6.0

5.0

4.0

3.0

2.0

1.0

1 3 10 12 14 15 17 19 21 23 25 27
Baseline "Sit-down" Baseline "Sit-down" Praise given for sitting
commands commands
Consecutive Morning Observations

Figure 6-2. Number of children standing in class during baseline periods and
when such behavior produced verbal admonishments or incompatible responses
were positively reinforced. Madsen et al., 1968.

tive control techniques are reinforced by their success in temporarily

checking disturbing performances.
The positively reinforcing effects of verbal reprimands are well illus-
trated in a field studyby Madsen et al. (1968) of disruptive behavior in
classroom settings. After the frequency with which children left their
desks was recorded, teachers consistently reprimanded them for standing
and told them to sit down. The admonishments promptly increased the
number of children standing (Figure 6-2). In the subsequent baseline
phase teachers reduced reprimands to their original moderate level, which
produced a corresponding reduction in the number of upright students.
However, they were springing up again at high rates when procedures
were altered so that trans gressive behavior evoked frequent "sit-down"
commands. During the final phase of the study, teachers ignored standing
and praised the children for working at their desks, a practice that re-
duced the incidence of disruptive behavior to its lowest level.
In eliminating behavior maintained by positive reinforcement, extinc-
tion can be accomplished simply by discontinuing the reinforcing con-
sequences. In social change programs extinction procedures are often
combined with positive reinforcement of incompatible behavior. When
extinction is a component in a multiform procedure its separate contri-
368 EXTINCTION

55 First extinction

50 Second extinction

45
</>
(D

| 40
^ 35
1
g 30

° 25
o

| 15
Q
10

3 4 5 6 7 8 10 11

Times Child Put to Bed

Figure 6-3. Duration of crying in two extinction series in which tantrum be-
havior was no longer socially reinforced. Williams, 1959.

bution to behavioral changes is difficult to evaluate, and categorization of

the treatment method is somewhat arbitrary.
Several issues relating to extinction processes are revealed in Williams'
(1959) successful elimination of aggressivelv demanding behavior in a
young boy. This child had been ill for the first 18 months of his life and
had required considerable attention and special care. During this period,
strong dependency behavior was undoubtedlv established. When the child
recovered, his parents attempted to withdraw some of the attention that
they had previously given him. The child responded with intense protests,
forcing the parents to attend to him and thus unwittingly to reinforce
crying spells, tantrums, and demands for their extended presence and
undivided attention, especially at bedtime. The parents were instructed
to put the child to bed in a leisurely and nonpunitive fashion and, after
the completion of bedtime routines, to ignore the child's screaming and
raging. Under the extinction contingencies an immediate marked drop
in the duration of tantrums occurred, followed by almost complete extinc-
tion of tantrums within a few days (Figure 6-3). The child no longer
cried when left in his room, but instead played happily until he dropped
off to sleep.

In everyday situations it is sometimes difficult to achieve generalized

extinction of deviant behavior because different social agents are incon-
sistent in their reinforcement practices. Thus, if parents no longer reward
temper tantrums, but other significant adults continue to do so, a child
will, in all likelihood, exhibit a discriminative pattern of negative behav-
Extinction of Positively Reinforced Behavior 369

ior toward others in accord with their customarv reinforcement practices.

The rate of extinction can be further impeded if the same agent, through
inconsistency in his own actions, places the behavior on a schedule of
partial reinforcement. In the case discussed above, for example, the par-
ents and an aunt alternated in the painful bedtime routines. The tantrums
were briefly reinstated and reinforced, after having been extinguished,
by attention from the aunt on an occasion when the child fussed after
having been put to bed. A second extinction series was therefore carried
out and resulted in complete and stable elimination of the tantrums Fig- (

ure 6-3). Food-throwing and other disruptive behaviors were similarly

extinguished by promptly removing the child from the table whenever
he deliberately spilled or threw food from his plate. When this practice
was first instituted the boy was removed from his high chair 12 times,
but thereafter food-throwing declined rapidly and ceased by the seventh
meal (Williams, 1962).
A child's aversive control of his parents, if intermittently reinforced,
is behavior and to other people. As
likely to generalize to other areas of
shown bv Williams, after inappropriate coercive behaviors are extin-
guished the familial atmosphere changes from one of recurrent drawn-
out battles to reciprocally rewarding interactions.
The importance of establishing uniform contingencies in implementing
a change program based on extinction is further shown in a case reported
by Ayllon & Michael (1959). A female patient, who exhibited extremely
persistent psychotic talk, had been subjected to considerable verbal abuse
and beaten on several occasions by other patients in an effort to keep her
quiet. Patients responded negatively to this woman's delusional verbaliza-
tions, but the nurses from time to time attended to her bizarre talk in

order to "get at the roots of her problems" or responded with perfunctory

statements of sympathy and understanding. The patient was thus pro-
vided intermittent social reinforcement for behavior that was at other
times punished or ignored. The nurses were instructed not to attend to
psychotic talk and to reinforce sensible verbalizations. Although the pa-
tient's psychotic responses had persisted over the previous three years,

during a relatively brief period of treatment the percentage of these re-

sponses dropped from 91 to less than 25. However, an increase in psy-

chotic talk occurred during the ninth week of treatment, when, unknown
to the ward personnel, a social worker had been conducting interviews
with the patient and inadvertently reinforcing her psychotic verbaliza-
tions; the effects of these interviews generalized to the patient's interac-
tions with the nursesand other patients as well. Reinforcements provided
by hospital employees and other visitors to the ward produced other tem-
porary increases. However, the psychotic talk still remained less frequent
than it had been at the commencement of the extinction program and
370 EXTINCTION

therefore no longer provoked punitive behavior from the other patients.

A report by Groot ( 1966 ) provides some information on the collateral
changes that may from extinction of a related deviant behavior. It
result
also illustrates how, under conditions where treatment practices are sup-
ported independently of the consequences they have on recipients, it is
frequently more difficult to modify the practices of the treatment staff
than to change the behavior of clients. A chronic schizophrenic, who had
received insulin and shock treatment, individual and group therapy, and
a lobotomy, engaged continually in psychotic talk and wrote numerous
bizarre letters. An extinction program was applied to psychotic talk, and
its concomitant effects on bizarre letter writing and incidence of disturbed

behavior were measured. When extinction was first instituted, the num-
ber of bizarre letters increased from a baseline rate of approximately 13
letters a week to 43 letters in two days, after which it declined and stabi-
lized at about 5 letters a week. The relative frequency of disturbed be-
havior also decreased from 71 percent during the baseline period to only
16 percent when the extinction program was in effect. Both disturbed
behaviors and the number of psychotic letters increased after the staff
reverted to their own preferred practices, whereas deviant performances
diminished when the nurses were again persuaded to withhold attention
from psychotic verbalizations.
As part of a program of research in the development of procedures
for the modification of psychotic behavior, Ayllon and his associates
(Ayllon & Haughton, 1962; Ayllon & Michael, 1959) provide numerous
examples in which deviant behavior of hospitalized psychotics is extin-
guished by withdrawal of its positively reinforcing consequences. In one
study (Ayllon & Haughton, 1962), a group of schizophrenics, who exhib-
ited severe eating problems of long standing, remained totally unrespon-
sive to announcements that meals were being served and to other persua-
sive appeals. Consequently, the patients had been individually escorted
to the dining room by ward personnel, spoon-fed, tube-fed, and subjected
to electroshock "therapy" and other forms of infantilizing and punitive
treatments.
It was assumed by the research staff that the nurses' inadvertent social

reinforcement in the form of coaxing, persuading, and feeding the patients

maintained their eating problems, a contingency that also served to re-
duce the controlling function of verbal stimuli. All social reinforcement for
ignoring the announcement of mealtime and refusals to eat was therefore
withdrawn; following meal call, the dining room remained open for 30
minutes and any patient who failed to appear unassisted during that time
simply missed his meal. Under this new reinforcement contingency, pa-
tients responded promptly to meal call and the chronic feeding problems
were completely eliminated.
Extinction of Positively Reinforced Behavior 371

It is interesting to note that delusional statements to the effect that the

food was poisoned, or that God had instructed the patients to refuse to eat,
dropped out soon after they began to feed themselves ( Ayllon & Michael,
1959 ) These findings suggest that in some cases delusional responses may
.

be a product, rather than a source, of deviant behavior. By adopting a

sick role, supported by delusional justifications, patients can be more suc-
cessful in forcing attending and caretaking responses from busy ward
personnel, who would otherwise reject inappropriate demands for per-
sonalized attention. Indeed, the nurses frequently encouraged and posi-
on the assumption that the
tively reinforced infantile response patterns
patientswere incapable of more mature reality-oriented behavior because
they were "mentally ill." The changes noted in delusional beliefs follow-
ing the reinstatement of self-feeding are in accord with considerable
research evidence from social psychological studies which demonstrates
that after a response pattern has been durably modified, cognition ap-
pears to accommodate over time to support or to justify the new behavior.
Similar extinction procedures were applied by Ayllon & Haughton
(1964) in modifying aberrant verbal repertoires in three females diag-
Baseline Reinforcement of psychotic Reinforcement of neutral
140 i-

Extinction of neutral Extinction of psychotic

5 -Day Blocks

Figure 6-4. Reversals in the incidence of psychotic and neutral verbal behavior
as a result of variations in social reinforcement of these two classes of verbali-
zations. Ayllon & Haughton, 1964.
 372 EXTINCTION

nosed as chronic schizophrenics. In each case, following a baseline period

of observation, the deviant verbal behavior was extinguished by with-
holding social attention and tangible rewards whenever the patients
engaged in either psychotic talk or psychosomatic complaints. At such
times the nurses and ward attendants appeared distracted, bored, or
would simply some other event taking place in the
shift their attention to
ward. In order to demonstrate that the changes observed during the ex-
tinction period were not due to some other variables, the deviant verbali-
zations were positively reinforced in the second stage of the experiment,
following which extinction contingencies were again reinstated.
Figure 6-4 shows the modification of delusional talk in a patient whose
conversational content over the preceding 14 years had been dominated
by regal self-references (e.g., "I'm the Queen. The Queen wants a smoke.
. How's King George, have you seen him?"). The findings provide
. .

striking evidence that the staff's social attention exercised considerable

control over the client's aberrant verbal behavior. Psychotic verbal re-
sponses were progressively increased as a function of positive reinforce-
ment, but they decreased rapidly when social attention was withdrawn.
The frequency of appropriate verbal response's was similarly decreased
1

or increased by altering the reinforcement contingencies.

Figures 6-5 and 6-6 illustrate the modification of somatic complaint
behavior in two women who continually alleged innumerable physical
symptoms absence of any organic dysfunction. Their somatic pre-
in the
occupation and accompanying emotional responses such as crying and
sobbing were drastically reduced when they were no longer consoled, or
given sympathy or attention for complaints of various aches and pains.
The extinction process was undoubtedly hastened in the latter case by
the concurrent positive reinforcement of more appropriate verbal respon-
siveness.

Baseline

180 fly
Extinction
I 0)

.2 £
E o>
o <i>
90
en CC

. y
°l
20 40 60 80 100
5 -Day Blocks

Figure 6-5. Frequency of somatic complaints during the baseline period and
while somatic verbalizations were successively rewarded with attention and
ignored. The temporary increase in somatic complaints shown by the arrow in
the fourth phase of the treatment coincides with a visit by a relative. Ayllon
& Haughton, 1964.
Extinction of Positively Reinforced Behavior 373

Baseline
180
ri Extinction Reinforcement Extinction
•
-<

90 -
—^S
•/
/••
•

la )

•\

•1
\ • •

• • S^
•• • •
• • \ • • •
• • •^
1
1
o—^f*
10 20 30 40 50
10- Day Blocks

Figure 6-6. Frequency of somatic complaints during the baseline period and
while somatic verbalizations were successively rewarded with attention and
ignored. Ayllon & Haughton, 1964.

As shown in the studies of Ayllon and his colleagues, institutional

environments that are lacking in positive social reinforcement are likely
to produce a high incidence of attention-compelling deviant behavior.
In those familial environments that likewise provide minimal social rein-
forcement, interest and attention may be supplied primarily for somatic
disturbances or psychological disorders that cannot be easily ignored.
Walton ( 1960a ) , for example, reports a case of a 20-year-old woman
who suffered from long-standing neurodermatitis on the back of her
neck, which was continuously aggravated by persistent scratching. The
client had undergone numerous medical treatments, including ointments,
pills, lotions, and x-ray therapy, but her skin condition remained essen-

tially unchanged. Assessment of the family interrelationships revealed

that the son, who had always enjoyed a preferred status, was currently
receiving most of the parental attention and their limited financial re-
sources, whereas the daughter had been relegated to an inferior, ignored
position. With the advent of the dermatitis, however, the daughter re-
ceived more solicitous attention than ever before, and her fiance, who
similarly expressed concern over the dermatitis, frequently assisted with
the application of the prescribed ointments.
On the assumption that the scratching behavior, which perpetuated
the skin condition, was being inadvertently reinforced by the high level
of attention, the family members were instructed to ignore the dermatitis
and the fiance to discontinue the ointment routine. Following discontinu-
ance of the solicitous ministrations, the scratching decreased and at the
374 EXTINCTION

end of three months the dermatitis had completely disappeared. A four-

year follow-up study disclosed no recurrence of the neurodermatitis; the
client was happily married and successfully employed. Walton attributes
the elimination of compulsive scratching to the rapid accumulation of in-
hibitory potential with nonreinforced performance and the eventual selec-
tion of less effortful means of securing attention. A more likely explanation
would be in terms of clients' discriminating the altered reinforcement
contingencies rather than the build-up of response-produced inhibitory
potentials.
In the above case a somatic disorder was indirectly perpetuated
through reinforced motor behavior that exacerbated the condition. An
ingenious program of research by Miller ( 1969 ) provides impressive evi-
dence that physiological responses involved in psychosomatic conditions
can be directly modified by contingent reinforcement. In these studies
animals are curarized to eliminate skeletally mediated influences, and
spontaneous physiological responding is altered by administering rein-
forcing consequences whenever visceral responses of a selected rate or
magnitude occur. The animals are typically reinforced by rewarding
brain stimulation or by the cessation of electric shock. Results of numer-
ous experiments consistently show that when increases or decreases in
physiological responding are reinforced, visceral changes are produced in
the rewarded direction. A wide variety of visceral responses, including
changes in heart rate, blood pressure, vasomotor activity, intestinal con-
tractions, and rate of urine formation, have been substantially modified
by this procedure. The preciseness of reinforcement control of visceral
responses most strikingly illustrated by an experiment (Di Cara &
is

Miller, 1968) in which animals were rewarded for relatively greater

vasomotor responses in one ear than in the other. The animals learned to
respond with differential vasomotor activity in the two ears, indicating
much greater specificity to autonomic functioning than has been previ-
ously assumed.
Based on the evidence that visceral responses are subject to rein-
forcement control, Miller (1969) speculates that psychosomatic condi-
tions may be partly developed through contingent attention and other
reinforcing consequences. If this is the case, it should be possible to
modifv the visceral responses involved in psychosomatic disorders by
the use of extinction and differential reinforcement procedures.

TEMPORAL COURSE OF EXTINCTION

When reinforcement for previouslv rewarded behavior is discon-
tinued, the subject is likely to exhibit, during initial phases of extinction,
a temporary acceleration or intensification of the behavior in an effort
to produce the customary reinforcement. This is particularly true of
Extinction of Positively Reinforced Behavior 375

performances that have been maintained on a continuous schedule of

reinforcement. A temper tantrum that continues to go unheeded will
typically soar to deafening intensities; initially mild dependency de-
mands, if disregarded, may culminate in a sharp kick in the shins; and
negative attention-getting behavior that is consistently ignored typically
assumes increasingly ludicrous forms. But if the more vigorous respond-
ing also proves unsuccessful, it gradually declines and alternative patterns
of behavior emerge.
The particular sequences and patterns of responses that appear during
later phases of extinction are primarily determined by the response
options available to the individual. As dominant modes of behavior are
extinguished, a person will try alternative courses of action that have
been successful on previous occasions in similar situations. No special
problems are created by the use of extinction alone, provided the avail-
able alternatives are desirable. however, the responses in the in-
If,

dividual's repertoire are largely inadequate, a change agent may be faced

with the arduous task of extinguishing a long succession of inappropriate
patterns of behavior. This problem can be easily avoided by combining
extinction procedures with methods that foster more effective modes of
response.
The simultaneous utilization of extinction and reinforcement pro-
cedures is illustrated by one of several studies (Allen, Hart, Buell,
Harris, & Wolf, 1964) designed to modify behavior disorders in young
children on the basis of reinforcement principles. The case involved a
preschool girl who marked passivity and withdrawal from peer
exhibited
interactions, and high dependence on adults, which generally took the
form of hypochondriacal complaints, drawing attention to collections of
incidental objects, and to simple stereotyped activities that might gain
and hold adult interest. Most of the time, however, she spent either stand-
ing alone, or sitting in packing boxes, despite her teachers' supportive
efforts to structure play activities for her with a group of accepting chil-
dren. These attempts were partly unsuccessful because the teacher would
leave soon after the girl became involved in the group, thus making the
loss of the teacher contingent upon social participation. Before long she
would be standing on the periphery, seeking out a teacher, or reverting
to some form of solitary activity. In addition to the autistic behavior, the
girl displaved speech defects and a variety of tic-like behaviors.

In order to increase her social responsiveness, isolate behavior was

consistently nonrewarded and she was given a minimum of attention for
adult contacts that competed with peer-group play. Attention was, how-
ever, given freely and warmly whenever she approached or interacted
with peers. Initially, because of her strong avoidance behavior, approxi-
mations to social interactions, such as standing near other children or
 I

376 EXTINCTION

100
With adults

80

60

40

20

Z 100
With children

80

60

40

20

12 3 4 7 8 9 10 11
w\
J I I I L
12 13 14 15 16 17 18 19 20 2122232425
J—
31384051
Baseline Reinforced Reversal Reinforced interaction Post checks
interaction with children
with children

Days

Figure 6-7. Amount of social behavior displayed by a child as a result of

variations in social reinforcement of adult and peer interactions. Allen et ah,
1964.

parallel play, were positively reinforced. A teacher would go to her

whenever she was in the proximity of peers, converse with her, comment
on the nearby play activity, and suggest ways of joining in the game.
Later, adult attention, approval, and closeness were made contingent
upon direct play with other children. The introduction of these new con-
tingencies produced a rapid and marked change in the girl's social be-
havior: peer interactions increased from approximately 10 to about 60
percent, while adult contacts dropped from 40 to less than 20 percent
(Figure 6-7).
In order to determine whether the differential reinforcement was the
determinant of the behavioral changes, the original contingencies were
reinstated. During this period the teachers gave full attention to the girl
when she contacted them, played with her when she was alone, watched
her when she engaged in solitary activities, and conversed with her as
long as she remained in close proximity. No attempts were made, how-
ever, to initiate or to reward with peers. Under these
social interaction
conditions, the girl's contacts with adults increased, the hypochondriacal
Extinction of Positively Reinforced Behavior 377

complaints and articulation problems reappeared, and she promptly re-

verted to the isolate pattern of behavior ( Figure 6-7 ) Several days after
.

the therapeutic contingencies were again instituted, the girl's contacts

with adults stabilized at about 25 percent, and social interactions with
peers increased to the previous level of about 60 percent.
As play activities and peers became increasingly enjoyable, adult re-
wards for interaction with children were progressively diminished, and
the schedule of nonreinforcement of adult contacts gradually relaxed. At
the end of the 10-day period, the program was discontinued and no spe-
cial contingencies were arranged thereafter. Observational studies con-
ducted during several periods following treatment revealed that the girl
continued to display a high level of social interaction with other children
(Figure 6-7). Not only was the isolated pattern of behavior successfully
modified, but her speech, which had been slow, drawn-out, and fre-
quently inaudible, improved considerably. She no longer demanded un-
necessary medication, and she displayed increased capabilities to assert
and defend herself when necessary.
Similar results were obtained with a combined extinction-reinforce-
ment procedure in the treatment of two preschool boys who exhibited
frequent crying episodes whenever mildly frustrated or thwarted by
other children (Hart, Allen, Buell, Harris, & Wolf, 1964). Observation
revealed that their vociferous crying generally elicited comforting minis-
trations and solicitous concern from teachers. Consequently, teachers
were instructed to pay no attention to the crying episodes, unless the
child was actually hurt. If he was in close proximity to the teacher when
he began to cry, she walked away or occupied herself with other duties.
On the other hand, whenever that child handled stressful situations more
constructively he received prompt approving attention. Within five days
after introduction of the new contingencies the rate of crying declined
from 5-10 times per morning to practically a zero level and remained
negligible thereafter. Etzel & Gewirtz (1967) achieved equally favor-
able results with persistent infant criers by combining extinction of cry-
ing with reinforcement of more cheerful behavior.
As revealed by the above studies, modification of behavior through
extinction can be accomplished quickly and predictably by eliciting
and reinforcing desirable modes of response in addition to eliminating
the rewarding consequences for dysfunctional behavior. Some of the emo-
tional effects that accompany extinction can also be avoided in this man-
ner. If, however, constructive alternatives are only weakly established
or nonexistent in an individual's behavioral repertoire, a change agent
may have to wait unnecessarily long or indefinitely for their appearance.
Under these on the fortuitous occurrence
conditions, rather than relying
of favorable events, a change agent can both facilitate and more effec-
378 EXTINCTION

tively control the course of treatment by providing rewarded models who

display alternative means for securing desired outcomes. Individuals un-
dergoing extinction alone may learn what is no longer effective but re-
main uncertain about possible constructive courses of action, whereas
the combined use of extinction and modeling provides considerable
positive guidance.

MODIFICATION OF AGGRESSIVE RESPONSE PATTERNS

Theorizing about the conditions governing the occurrence and modifi-
cation of aggressive behavior has, until recent years, been considerably
influenced bv the frustration-aggression hypothesis (Berkowitz, 1962;
Dollard, Miller, Doob, Mowrer, & Sears, 1939). According to this view,
aggression is the naturally dominant response to frustration, and non-
aggressive reactions are likely to occur only if aggression has been non-
rewarded or punished. Since aggression was considered an unlearned
response to frustration, the research stimulated by this theory was mainly
concerned with the effects of frustration on aggression, with its inhibition
and displacement, and with the occurrence of catharsis. On the other
hand, the crucial issues of how relatively complex patterns of aggressive
behavior are originally learned, and the influence of a variety of con-
trolling variables other than "frustration" were largely ignored.
Man is endowed with neurophvsiological mechanisms that enable
him to behave aggressively, but the activation of these mechanisms de-
pends on stimulation and is subject to cortical control. Therefore, the
frequency with which aggressive behavior is displayed, the specific forms
that it takes, the situations in which it is expressed, and the targets that
are selected for attack are strongly influenced bv social experience. A
social-learning theory of aggression distinguishes the acquisition of instru-
mental responses that have destructive or pain-producing potential from
the conditions governing their subsequent performance. Aggressive re-
sponse patterns are characteristicallv acquired under nonfrustrating con-
ditions in the absence of injurious intent and often toward inanimate
objects. Thus, for example, military recruits acquire and perfect combat
skills through many hours of target practice and simulated skirmishes;
boxers develop hurtful pummeling abilities by using punching bags and
sparring partners whom
thev do not necessarily intend to hurt; and
huntsmen acquire the basic rudiments of hunting bv shooting at in-
animate targets before they go out in search of game. Indeed, if aggres-
were taught only while individuals were hostilely aroused
sive repertoires
and entertained injurious designs, many of the tutors and learners would
probably be maimed during the acquisition phase. Most theories of
aggression single out a limited set of variables that may influence per-
Extinction of Positively Reinforced Behavior 379

formance of aggressive responses, but for the most part they overlook
skill component.
the essential
The process of acquisition and subsequent utilization of aggressive
behavior is best exemplified in laboratory studies employing markedly
different training and test situations. Walters & Brown (1963) showed
that boys who had been intermittently reinforced with marbles for punch-
ing an automated Bobo doll later exhibited more physically aggressive
behavior toward other children in a competitive situation than did boys
who had received no prior training in punching responses. Conversely,
in the previously reviewed study by Chittenden (1942), children whose
aggressive responses were reduced in a doll-play situation through differ-
entialmodeling and vicarious reinforcement were much less prone to re-
spond aggressively to interpersonal thwarting, both in situational tests
and in their every da v interactions.
There is a substantial bodv of evidence (Bandura & Walters, 1963)
that novel modes of aggressive behavior are readily acquired through
observation of aggressive models. Findings of these controlled investiga-
tions lend support to field studies demonstrating the crucial role of mod-
eling in the genesis of antisocial aggressive behavior (McCord & McCord,
1958), and in the cultural transmission of aggressive response patterns
( Bateson, 1936; Whiting, 1941 ).Modeling influences continue to regulate
aggressive responsiveness to some extent even after the behavior has been
acquired. The behavior of models continually exerts selective control over
the types of responses exhibited by others in any given situation. More-
over, seeing individuals behaving aggressively without adverse conse-
quences reduces restraints in observers, thereby increasing both the fre-
quency with which they engage in aggressive activities (Wheeler, 1966)
and the harshness with which they treat others ( Epstein, 1966; Hartmann,
1969).
After aggressive patterns of behavior have been learned, they can be
maintained by a variety of reinforcing events. Theories that invoke ag-
gressive drives (Dollard et al., 1939; Feshbach, 1964) assume that pain
cues and other injurious consequences experienced by the victim consti-
tute the major reinforcers of aggressive behavior. The process whereby
signs of injury and distress acquire positively reinforcing properties has
never been established. Sears, Maccoby, & Levin (1957) suggest that ex-
pressions of pain and discomfort produced in others by aggressive behav-
ior are frequently followed by removal of frustrations or rewarding out-
comes for the aggressor. Through such paired association pain cues
acquire conditioned reward value. One might also expect expressions of
suffering to gain satisfying properties under conditions of interdependent
competing consequences in which success for one member produces pun-
380 EXTINCTION

ishing outcomes for the other. Feshbach (1964 ) offers a somewhat differ-
ent interpretation of the phenomenon. Through example and precept
children learn a retaliation norm: infliction of injury requires that the
initial aggressor must be hurt. It is further assumed that perception of

pain in one's tormentors is experienced as satisfying because successful

retaliation restores self-esteem.
To assess the reinforcing function of infliction of pain, Feshbach,
Stiles, & Bitter (1967) conducted an experiment in which female stu-
dents participated in a verbal-conditioning task after being treated in
manner by a confederate of the experimenter.
either a hostile or a friendly
For half the subjects each condition the correct verbal response was
in
reinforced by witnessing the confederate being shocked, while for the
remaining students the contingent event was a light flash. Angered sub-
jects who observed the provocateur experiencing pain showed an increase
in conditioned responses, but the noninsulted subjects did not.These find-
ings would seem under anger arousal pain cues can serve
to indicate that
as positive reinforcers, although additional information is needed before
the conditioning differences can be unequivocally attributed to the influ-
ence of anger arousal. Witnessing another person experience pain evokes
emotional response's (Berger, 1962), and observers who are moderately
aroused are more easily conditioned by such displays than nonaroused
subjects (Bandura & Rosenthal, 1966). Since emotional arousal facilitates
conditioning, an experimental design comparing the effects of pain cues
on fear-aroused and anger-aroused subjects would be best suited for
evaluating whether conditioning outcomes are due specifically to anger
or to the general effects of emotional arousal.
A comprehensive theory of aggression must account not only for ag-
gressive actions that are primarily reinforced by injurious consequences,
but also for much broader classes of aggressive behavior in which the
infliction of injury is essentially irrelevant or, at best, a secondary con-
trolling condition. If there is any validity to naturalistic studies demon-
strating that social recognition is often made contingent upon perform-
ance of assaultive behavior, and if aggression is defined as behavior
intended to produce injurious consequences, then some of the most vio-
lent interpersonal activities would be excluded from consideration. It is
evident that people frequently resort to aggression not for pain cues but
because it has high utilitarian value. By aggressive behavior, or domi-
nance through physical and verbal force, individuals can obtain material
resources, change rules to fit their own wishes, gain control over and ex-
tract subservience from others, terminate provocation, and remove physi-
cal barriers which block or delay attainment of desired outcomes. It is,
therefore, not surprising that aggressive-domineering patterns of behavior
are so prevalent.
Extinction of Positively Reinforced Behavior 381

Systematic analysis of reinforcement contingencies in naturally occur-

ring interactions, indeed, reveals that aggressive behavior is strengthened
and maintained some extent by its positive social consequences. In
to
deviant subcultures, where physical aggression is regarded as emulative
behavior (Buehler, Patterson, & Furniss, 1966; Wolfgang & Ferracuti,
1967; Yablonsky, 1962) aggressiveness is often deliberately rewarded and
collectively sanctioned. Studies of aggression as it occurs in familial and
other social situations disclose that individuals are often inadvertently
trained to behave aggressively by persons who normally eschew such
behavior. Because of its aversive properties aggressive behavior not only
commands attention, but is often successful in removing unpleasant per-
formance demands and in controlling the behavior of others. Both parents
(Hawkins, Peterson, Schweid, & Bijou, 1966) and peers (Patterson, Litt-
man, & Bricker, 1967 ) thus intermittently reinforce aggressive responding.
A similar reinforcement process is typically operative at broader social
levels. When legitimate demands and constructive efforts to produce
needed changes are repeatedly thwarted by persons who benefit from
the prevailing system this evokes more intense and disruptive actions
that cannot be ignored. In many instances, existing practices lack suffi-
cient justification to withstand any concerted and aggressive efforts to
force changes. As a consequence, aggressive behavior eventually succeeds
in securing desired goals and, like any other efficacious, modeled behav-
ior, it is widely emulated as a method of achieving social change.

Drive theories of aggression assume that frustration arouses an aggres-

sive impulse or drive that can be reduced only through some form of
aggressive behavior. From a social-learning perspective, frustration is

regarded as a facilitative rather than a necessary condition for aggression.

That is, frustration produces a general state of emotional arousal that
may lead to a variety of responses depending upon the types of frustration
reactions that have been previously learned, and the reinforcing conse-
quences typically associated with different courses of action. This con-
ceptualization is supported by several lines of evidence.
Psychophysiological studies, some of which are discussed in Chapter 8,
demonstrate that fear-arousing and anger-provoking situations produce
highly similar physiological arousal (Ax, 1953; Schachter, 1957). More-
over, the same state of physiological arousal induced directly by a sympa-
thetic stimulant may be experienced as anger or euphoria depending upon
the type of emotional behavior exhibited by others in the same situation
(Schachter & Singer, 1962). These data question the assumption that
frustration creates a distinct form of emotional arousal that can be re-
duced only through aggressive behavior. Indeed, contrary to aggressive
numerous controlled experiments reveal that far
drive theory, findings of
from producing a cathartic reduction of aggression, performance of ag-
 .

382 EXTINCTION

gressive behavior within a permissive setting maintains it at its original

level (Feshbach, 1956; Kenny, 1952; Mallick & McCandless, 1966). It has
also been shown repeatedly that vicarious participation in aggressive ac-
tivities increases the probability that observers will behave in an aggres-

sive fashion ( Bandura, 1965; Berkowitz, 1969 )

The persistence of emotional frustration effects may be more ade-
quately interpreted in terms of a self-arousal mechanism rather than as
a lingering aggressive drive requiring discharge through assaultive or
destructive behavior. After a person has been insulted, unjustly treated,
or otherwise thwarted, the resultant emotional arousal is repeatedly re-
vivified and often enhanced on later occasions through svmbolic rein-
statement of the anger-provoking incidents. Thus thinking about the ill

treatment and the possible adverse consequences of disturbing episodes

can reinstate intense feelings long after the initial reactions to the situa-
tionhave subsided. The persistence of elevated arousal, according to the
social-learning view, is attributed to self-generated stimulation rather
than to the existence of an undischarged reservoir of aggressive drive.
If the person should become immersed in new activities that supersede

the arousing ruminations, or if he should reinterpret the original provok-

ing experience in a more favorable light, then "tension" is likely to be re-
duced noticeably. For example, a person who
angered over a presumed
is

snub will probably experience a rapid and thorough reduction in anger

arousal, without having to assault someone, upon learning that he has
been invited to the social function after all. Similarly, on the supposition
that diminution of emotional arousal is a consequence of changes in sym-
bolic activities rather than a cathartic effect of having experienced aggres-
sion vicariouslv, one would expect aroused individuals to experience
equally salutary effects from getting involved in an absorbing book, a
movie, a stage play, or a television program lacking aggressive displays.
Results of several experiments, differing considerably in subject char-
acteristics, in the form in which aggression is expressed, and in dependent
measures, are in general agreement with the foregoing theoretical consid-
erations. Kahn (1966) subjected college students to anger-arousing ex-
which they either expressed their feelings of anger to an
periences, after
encouraging and svmpathetic "physician," or they merely sat for an equiv-
alent period. Students who participated in the cathartic interview disliked
the provocateur significantly more than the controls, and during the
recovery period, the catharted subjects were generally more aroused
physiologically than students in the control condition. In an experiment
conducted with children, Mallick & McCandless (1966) found that re-
interpretation of the anger-eliciting events substantially reduced aggres-
sive behavior toward the antagonist, whereas free expression of physical
aggression did not lessen their punitive behavior. Kaufmann & Fesh-
Extinction of Positively Reinforced Behavior 383

bach (1963a, b) provide further suggestive evidence for the anger-miti-

gating effects of cognitive processes.
The term frustration has been applied to exceedingly diverse condi-
tions including the obstruction, omission, or delay of reinforcement, the
withdrawal of rewards, and the administration of punishing stimuli. It
has been demonstrated in research involving both human and animal
subjects that these operations produce quite different outcomes, and
even the same condition does not have an invariant behavioral effect. The
manner in which individuals respond to conditions regarded as frustrative
is primarily determined by the patterns of behavior that they have previ-

ously learned for coping with such situations.

The importance of direct training in the development of frustration
responses is demonstrated in an experiment by Davitz (1952). After first
being observed in free interaction, several groups of children participated
in training sessions in which competitive and aggressive behaviors were
praised and encouraged. In contrast, other groups of children were re-
warded for constructive and cooperative behavior. All children were then
severely frustrated and immediately following this experience they were
observed for a second time in free interaction. Children who had been
trained to behave aggressively showed an increase in aggression, whereas
children who had received training in cooperativeness behaved more
constructively in response to frustration. This study illustrates how frus-
tration serves as an arousal stimulus that enhances whatever responses
are dominant in subjects' behavioral repertoires.
The played by social-learning factors in aggression is
influential role
further shown by which aggressive behavior is induced in
studies in
primates through electrical stimulation of the hypothalamus (Delgado,
1967). Thalamic stimulation of a monkey who assumes a dominant role
in the colony instigates him to attack subordinate male members. By con-
trast, thalamic stimulation elicits cowering and submissive behavior in a
monkey of low Even more impressive is evidence that electri-
social rank.
cal stimulation of the same cerebral mechanism can evoke differential
amounts of aggression in the same animal as his social rank is modified
by changing the membership of the colony. Thus, thalamic stimulation
elicits submissiveness in the animalwhen he occupies a low hierarchical
position and marked aggressiveness when he is the dominant member in
the group.
In human learning, responses to frustration frequently originate from
observation of parental and other models who provide repeated examples
of how to deal with thwarting events. Consequently, when observers en-
counter stressful situations they are more likely to respond imitatively
than to engage in initial trial-and-error behavior. Only when a person
has learned aggression as a dominant response to emotional arousal will
 )

384 EXTINCTION

there be a high probability of his reacting aggressively to frustration. For

example, Bandura (1962) found that children who had observed a model
behaving in an aggressive manner responded to frustration with kicking,
striking with mallets, and other imitative aggressive responses, while
equally frustrated children who had watched a nonaggressive model dis-
played less aggression than a control group that matched the inhibited
behavior of their model. The influential role of modeling in shaping frus-
tration or stress reactions is well documented in countless studies showing
that deviant behavior patterns are often transmitted through familial
modeling.
It is evident that, as a result of differential modeling and reinforce-
ment patterns, frustration may elicit a wide variety of responses. When
thwarted, some people become dependent and seek help and support,
some display withdrawal and resignation, some experience psychosomatic
dysfunctions, some seek refuge in drug-induced experiences and anaes-
thetic doses of alcohol, some respond aggressively, and most simply in-
tensify constructive efforts to overcome the obstacles they face. It there-
fore comes as no surprise that in laboratory studies in which frustration
is systematically varied it sometimes increases aggression (Berkowitz,
1964; Geen, 1968; Hartmann, 1969), has no effect on aggressive behavior
(Buss, 1966; Jegard & Walters, 1960; Walters & Brown, 1963), or reduces
aggressive responding (Kuhn, Madsen, & Becker, 1967). In experiments
reporting positive results frustration usually exerts an influence only in
conjunction with prior training in aggression or exposure to aggressive 1

modeling cues. The fact that the negative findings occurred in studies in
which other variables were highly influential lends support to the view
that frustration is only one, but not necessarily the most important, vari-
able determining aggressive behavior. Indeed, according to social-learn-
ing theory, one could readily produce highly aggressive individuals by
providing them with successful aggressive models and intermittently re-
warding aggressive behavior, while keeping frustration at a low level. It
would follow from the findings reviewed in the preceding sections that
lasting changes in aggressive behavior can be most successfully achieved
by reducing the utilitarian value of aggression through the development
of more effective alternative modes of response.
A variety of social-learning procedures has been employed with suc-
cess in modifying extreme aggressive behavior. Chittenden ( 1942

achieved reductions in aggression by modeling more constructive means

of coping with interpersonal conflicts. Several investigators (Hawkins et

al., 1966; Sloane, Johnston, & Bijou, 1968; Zeilberger, Sampen, & Sloane,
1968) have eliminated violent temper tantrums and physically assaultive
behavior by reducing the amount of social reinforcement that parents and
teachers provide for such behavior. In the foregoing programs aversive
Extinction of Negatively Reinforced Behavior 385

consequences, usually consisting of social withdrawal, are administered

for physical assault and destructive behavior, and desirable social behav-
ior is actively promoted.
Aggression has also been effectively modified by differential social
reinforcement in which aggressive behavior is placed on an extinction
schedule. Brown & 1965 ) instructed teachers to ignore aggression
Elliott (

and reward cooperative behavior in an effort to reduce the amount of

aggression exhibited by 27 boys in a nursery school class. Under these
reinforcement contingencies the incidence of both physical and verbal
aggression declined. After the program was discontinued physically ag-
gressive behavior showed some recovery during a follow-up period, which
was attributed to the fact that teachers found it difficult not to attend to
and interact with the boys when they engaged in such activities. The
social reinforcement procedures were again consistently applied and pro-
duced additional reductions in physical and verbal assaults. Scott, Burton,
& Yarrow ( 1967 ) report similar results in a controlled study of a nursery
school boy who displayed frequent unprovoked aggression. When the
usual conditions of adult reinforcement were in effect the boy exhibited
a high rate of negative behavior toward peers. In contrast, during periods
when significant adults consistently ignored aggressive actions and con-
currently attended to desired behavior the boy showed a substantial in-
crease in positive forms of interaction with other children.

Extinction of Defensive Behavior

As Mowrer ( 1950) has previously noted, human behavior is frequently

activated not by immediate physical discomforts but by anticipated aver-
sive effects. That is, housewives do not depend upon hunger pangs to
prompt them to purchase groceries; homeowners do not wait until they
experience the discomfort of a burning house to buy fire insurance; stu-
dents ordinarily do not rely upon distress created by examination failures
to begin to study; and usually motorists do not wait until inconvenienced
by a stalled automobile to replenish gasoline. Through representational
mechanisms future events can be converted into current stimuli that are
functionally similar to physical stimuli in their capacity to evoke adaptive
courses of action.
Similarly, avoidance behavior can be strongly reinforced by its suc-
cess in preventing the occurrence of anticipated painful experiences. This
process is illustrated by the apocryphal case report of a severe compulsive
who, when asked by a psychiatrist why he incessantly snapped his fingers,
replied that it kept ferocious lions away. When informed that there were
no lions in the vicinity, the compulsive client responded, "See, it works."
The reality of the phenomenon is most strikingly demonstrated by labora-
 .

386 EXTINCTION

tory studies of unsignaled avoidance in which animals can forestall shock

for a fixed period each time they perform a defensive response ( Sidman,
1966). Under these conditions animals display a stable rate of avoidance
behavior and, as a result, they rarely encounter the actual punishing
events. Moreover, the avoidance behavior persists for a long time after
aversive stimuli have been withdrawn, and it is easily reinstated on later
occasions by a few negative experiences.
After successful avoidance behavior has been developed it may be
controlled cognitively and by discriminative stimuli without requiring
emotional arousal. In a comparison of different extinction procedures,
Notterman, Schoenfeld, & Bersh ( 1952 ) conditioned heart-rate responses
When the extinction trials began one
to a tone through shock stimulation.
group of subjects was presented the tone without comment, the second
group was informed that the shocks had been permanently discontinued,
while the third group was told that they could successfully avoid being
shocked by tapping a telegraph key whenever the tone was presented.
Awareness of the altered contingencies facilitated extinction, but auto-
nomic responding was almost completely eliminated when subjects had a
suitable means of avoiding aversive stimulation Figure ( 6-8 )

Under naturally occurring conditions individuals periodically en-

counter punishing experiences and frequently find themselves in fear-
provoking situations. Defensive activities are, therefore, reinforced not
only by forestallment of potential threats but also by fear reduction
accompanying escape from aversive situations that produce disturbing
arousal. In experiments designed to evaluate separately the various fac-
tors that might reinforce avoidance behavior, Kamin (1956, 1957) found
that either termination of the fear-provoking signal or avoidance of
physically painful stimulation increased the frequency of avoidance re-
sponses and the speed with which they were performed. Avoidance be-
havior was most pronounced when it both terminated fear-arousing cues
and prevented shock stimulation.
Extinction of avoidance behavior is achieved by repeated exposure to
threatening events without the occurrence of any adverse consequences.
The major obstacle to obtaining rapid extinction is the self-reinforcing
character of avoidant behavior deriving from its capacity to remove or
postpone anticipated threat. Moreover, inhibition of responses that
have been punished in the past and the successful avoidance of fear-
provoking situations effectively prevent the individual from reappraising
the currently prevailing conditions of reinforcement. Anticipatory arousal
and defensive behaviors that are no longer objectively justified are thus

protected from extinction. Continued reexposure to fear-producing stimuli

without unfavorable consequences eventually eliminates both emotional
and instrumental behavior through mechanisms previously discussed.
Extinction of Negatively Reinforced Behavior 387

-1

-2
B-1 2-4 5-7 8-10 11-13 14-16 17-E 2-4 5-7 8-11

Acquisition Extinction

Trials

Figure 6-8. Extinction of heart-rate responses to a conditioned stimulus in

subjects who either were uninformed that shock was discontinued, were told
there would be no further shocks, or were provided with a motor response for
avoiding shock. B-1 represents the baseline heart-rate response to the tone
before aversive conditioning. Redrawn from Notterman, Schoenfeld, & Bersh,
1952.

Several variant extinction procedures have been devised in an effort to

accelerate and to gain better control over extinction processes.

FORCED EXPOSURE THROUGH RESPONSE PREVENTION

Avoidance behavior can be rapidly eliminated by blocking its occur-
rence in the presence of fear-arousing stimuli. However, there is some
evidence to indicate that forced exposure may produce only temporary
changes without altering the arousal potential of subjectively threatening
In some instances, for example, cessation of avoidance re-
situations.
sponding simply reflects the formation of erroneous discriminations that
protect the fear-eliciting capacity of threatening stimuli from extinction.
Solomon, Kamin, & Wynne (1953) trained dogs to jump over a barrier
box whenever a buzzer was sounded preceding an intense
in a shuttle
electric shock. After the avoidance behavior was well learned, extinction
was instituted. Under the regular extinction procedure, the animals
continued to perform the effortful avoidance response to the buzzer with
undiminished speed for several hundred trials without receiving a further
388 EXTINCTION

shock. At this stage of the investigation, various modification procedures

were introduced. For some animals, a glass barrier, which prevented
the jumping response, was placed between compartments of the shuttle
box, but this method also proved ineffective in facilitating extinction for
most animals. In this experiment, the physical obstruction was utilized
only on the fourth and seventh of the ten trials which the dogs received
during each daily session. Under these predictable stimulus changes the
animals apparently discriminated between trials on which the barrier
was present as being safe and those on which it was absent as dangerous.
Consequently, they continued to jump rapidly on the butlatter trials,
remained unperturbed by the aversive tone whenever the glass barricade
was introduced.
Evidence for the discrimination interpretation of the marked resistance
to extinction is provided by Carlson & Black (1959), who replicated the
above experiment, with the exception that the glass barrier was employed
throughout the initial series of extinction trials, after which it was per-
manently removed. Under this procedure, avoidance behavior was rapidly
1

eliminated. Using a similar method, Page & Hall (1953) likewise demon-
strated that the response-prevention technique can accelerate extinction,
provided it is employed on every trial in a lengthy series during the initial
phase of extinction. Weinberger (1965) has further shown that the rate
of extinction of avoidance behavior is increased with longer durations
of forced exposure to fear-provoking events.
Response blocking in the presence of aversive stimuli can produce
behavioral changes through several different means. It may extinguish
the aversive properties of threatening stimuli so that they lose their
capacity to evoke fear and avoidance. Alternatively, it may eliminate the
obstructed avoidance responses without altering the arousal potential of
feared stimuli by producing new forms of defensive behavior that are
inevitably successful in forestalling nonexistent threats. This process of
response substitution is best exemplified by Miller's (1948) experiment,
in which animals confined in a threatening situation acquired a long suc-
cession of avoidance responses as each preceding one was obstructed.
The importance of distinguishing between changes reflecting stimulus
neutralization and response substitution is further illustrated by evidence
that subjects that have extinguished avoidance responding to a given CS
may nevertheless be somewhat fearful of that stimulus, as measured by
suppression of rewarded behavior whenever the stimulus is presented
(Kamin, Brimer, & Black, 1963).
Assessments of the varied effects accompanying response prevention
suggest that this method may produce rapid behavioral changes without
achieving fear extinction. This is shown by evidence that, compared to
 .

Extinction of Negatively Reinforced Behavior 389

regular extinction, behavior that has been eliminated by response block-

ing reappears with greater frequency to later presentations of the condi-
tioned stimuli (Benline & Simmel, 1967); subjects are more reluctant to
approach the fear-provoking cues, indicating that they have retained some
of their aversive properties ( Page, 1955 ) and not only are subjects whose
;

defensive behavior has been removed in this manner more susceptible to

subsequent aversive conditioning, but the reestablished avoidance be-
havioris more resistant to extinction ( Polin, 1959 )

Response-prevention methods have rarely been employed clinically.

However, Meyer (1966) presents interesting results with severe ob-

sessional disorders, which suggest that this approach may have value in
modifying certain behavioral conditions. One case involved a 33-year-old
woman who was almost totally incapacitated by washing rituals. She
phobically avoided touching common objects and discontinued sexual
relations because of fear of contamination. Most of her time was spent
compulsively washing and scrubbing the house. The second woman suf-
fered for 36 years from intrusive "blasphemous thoughts" that centered
around having sexual intercourse with the Holy Spirit. The resultant guilt
and anxiety were alleviated by performing various ritualistic behaviors a
certain number of times. These obsessive thoughts and rituals remained
unaltered by electric shock therapy and a leucotomy but, according to the
client, the condition was aggravated by 11 years of psychoanalysis where

most stimuli were interpreted as sexual symbols. Consequently she

stopped eating oblong objects, and any activity that could conceivably
have sexual connotations (e.g., shutting drawers, putting in plugs, wiping
tall receptacles, entering underground trains, etc.) evoked ritualistic be-

havior.
The clients were requested to perforin threatening activities (e.g.,
touching door knobs, handling dust bins, imagining sexual relations with
the Holy Spirit, eating sausages, etc.) and the nursing staff prevented
them from engaging in the ritualistic behavior designed to forestall fore-
boding consequences. The women displayed intense distress when per-
formance of the ritualistic behavior was first blocked. However, their
emotional reactions gradually diminished, and both avoidance behavior
and the compulsive rituals were substantially reduced after the restric-
tions had been removed. According to follow-up studies, the first client
continued her washing routines, but she was much less disturbed by dirt,
her family relationships improved greatly, she resumed sexual relations,
and she was able to participate in a number of social activities which she
previously had avoided for fear of contamination. The second client de-
creased the ritualistic behaviors from approximately 80 to 4 per day and
the occurrence of intrusive thoughts was similarly reduced. These en-
390 EXTINCTION

couraging preliminary results suggest that avoidance behavior that is

powerfully maintained by staving off fantasied direful consequences may
initially require a forced extinction procedure for their elimination.

EXPOSURE TO THREATS GRADUATED IN AVERSIVENESS

Inappropriate defensive behavior is frequently extinguished by in-
troducing aversive stimuli at weak intensities that do not evoke avoidance
responses, and then gradually increasing their threat value until the most
fearsome situations have been neutralized. By skillful application of
stimulus change procedures the arousal capacity of aversive stimulus
events can be eliminated without eliciting fear or alternative forms of
defensive behavior.
Several studies have compared the relative efficacy of regular extinc-
tion and a stimulus change procedure used either alone or as a component
of a multiple method for eliminating emotional responding. In an experi-
ment by Kimble & Kendall (1953) animals performed avoidance re-
sponses to a light (CS) that was previously associated with shock. The
avoidance responses of half the animals were extinguished by the con-
ventional method of repeatedly presenting the fear-provoking CS at
training intensity without the shock. For subjects in the second condi-
tion the intensity of the CS was gradually raised in small steps from zero
to the level used during training, and thereafter the light was presented
at the training intensity as in the first group. Subjects initially exposed to
the conditioned aversive stimulus at graduated intensities abandoned the
avoidance behavior twice as fast as the group confronted from the outset
by the CS at full intensity. In fact, 80 percent of the animals in the stim-
ulus change condition rapidly extinguished emotional responses to weaker
versions of the CS and consequently, they displayed no avoidance be-
havior at all when confronted with the formerly aversive stimulus at high
intensity.
A graduated procedure can produce comparatively rapid extinction
because superseding competing responses are more likely to occur to weak
aversive stimuli than to more intense forms which activate strong avoid-
ance behavior. Once nonavoidant responses occur to situations containing
few fear-provoking elements, the competing responses generalize also to
similar stimuli containing more fearsome elements. In this way it is pos-
sible to extinguish emotional behavior without eliciting any avoidance
behavior, provided the conditioned aversive stimuli are increased in suffi-

ciently small increments.

The process of extinction can be further hastened by combining
aversive stimulus change with positive stimulus conditions designed to
evoke behavior capable of supplanting avoidance tendencies. By employ-
ing this type of multiple procedure, which is treated at length in the
 —

Extinction of Negatively Reinforced Behavior 391

next chapter, the occurrence of nonfearful behavior to subjective threats

can be better controlled. This is corroborated by Poppen (1968) in a
laboratory study comparing five different methods for eliminating be-
havioral inhibitions. After animals learned to press a lever for food, they
were shocked immediately following a tone until it acquired the capacity
to suppressresponding thoroughly. The shock stimulation was then dis-
continued and the animals were assigned to one of five treatment condi-
tions. For one group of subjects receiving regular extinction, the fear-
arousing tone was presented periodically at the intensity used in train-
ing; for a counterconditioning group the training tone was accompanied
by food rewards; a third group was administered graduated extinction in
which the aversive tone was introduced at low intensity and progressively
increased as weaker variants were neutralized; for subjects receiving the
graduated-counterconditioning treatment aversive stimulus change was
combined with food rewards; and finally, a fifth group of subjects par-
ticipated in a flooding procedure wherein the training tone was presented
continuously for 10-minute periods. The degree of response suppression
was measured by differences in rate of responding prior to, and in the
presence of, the threatening tone.
The reductions in response suppression achieved by the various treat-
ment procedures are summarized in Figure 6-9. Regular extinction was
found to be least effective for eliminating conditioned fear, but the
potency of this method was considerably enhanced by presenting the
threatening stimuli in a gradual fashion. Behavioral inhibitions were most

Graduated counterconditioning *
Graduated extinction 9

Flooding °
Counterconditioning •—
Regular extinction e—

6 7 10 12

Sessions

Figure 6-9. Reductions in response suppression achieved by subjects in each

of the five treatment conditions during ten extinction sessions. A value of zero
indicates complete suppression of the intermittently rewarded lever-pressing
response, whereas a ratio of 0.50 represents no response inhibition. Poppen,
1968.
392 EXTINCTION

rapidly and thoroughly removed by reducing the aversiveness of fear-

provoking stimuli through graduated presentation, and simultaneously
eliciting incompatible responses. An essentially similar pattern of results
was obtained for the number of trials required to eliminate completely
the behavioral inhibitions. Presenting fearsome stimuli in a graded series
and eliciting competing responses both accelerated extinction, but the
procedure combining these two factors reduced extinction time by half.
A number of case studies have been published in
which a graduated
extinction procedure was employed
modify severe emotional behavior.
to
An illustration of the use of this principle is provided by Grossberg
(1965), in the treatment of a woman who suffered from a public speak-
ing phobia so incapacitating that she was unable to complete a speech
course required for college graduation, even with the aid of tranquilizers,
group therapy with other speech phobics, and 30 hours of individual
psychotherapy.
The extinction program consisted of 17 sessions in which the student
delivered increasingly longer speeches to progressively larger audiences
in situations that gradually approximated speech-class conditions. Ini-
tially the student read familiar and unfamiliar passages from a book and
then made brief speeches to the therapist alone in his office and in a
small, empty classroom. Auditors were later introduced one by one until
she delivered a variety of speeches to an audience of nine listeners. To
further ensure adequate generalization of extinction effects, the stimulus
conditions were continuously varied by utilizing several different class-
rooms, by having the student visualize her new classmates during demon-
stration speeches,and by having the therapist himself absent during some
of the sessions. At the completion of the extinction series, the student
delivered six speeches and attained a grade of "B" in the speech course
from which she had previously fled to a physician after a frightful
struggle to complete a one-minute oration.
According to psychoanalytic theory, interpretations designed to re-
duce the strength of defenses should precede the labeling of impulse
expressions. On the basis of deductions consistent with the latter theory
made from Miller's (1948) conflict paradigm, Dollard & Miller (1950)
advanced the view that anxiety that motivates avoidance responses in an
approach-avoidance conflict should be reduced before attempting to ac-
tuate approach behavior.

The person with a severe neurosis who does reach the psychotherapist
is a specially selected case with extremely strong avoidance tendencies.
Therefore, trying to increase his motivation to approach goals will only
increase his fear and conflict. This increase in misery will tend to drive
him out of therapy. This is indeed what seems to happen. Therapists
Extinction of Negatively Reinforced Behavior 393

have found that the first thing to do is to concentrate on reducing the

fears motivating avoidance (i.e., to analyze resistances) rather than to
trv to increase the motivation to approach the feared goal [p. 359].

This theory implies that avoidance behavior can be modified most

by interpretive interview procedures and that no attempt
effectively
should be made, during initial stages of treatment, to have clients per-
form the feared behavior. It is highly probable that if therapists were to
force their clients to approach the most fear-provoking situations at the
outset, they would indeed experience intense anxiety, and might even
terminate psychotherapy. However, the experimental evidence previously
reviewed demonstrates that avoidance responses can be readily extin-
guished if subjects are exposed to initially weak, but gradually increas-
ing, aversive stimuli. An extinction procedure of this type was, in fact,
also successfully employed by Herzberg ( 1941 ) in the treatment of an
agoraphobic housewife. This woman displayed severe anxiety and psycho-
somatic reactions whenever she went out alone; she consequently re-
fused to leave the household unless accompanied by another person, or
transported in a taxi. She was first assigned the task of walking by herself
in a park, which constituted a considerably weaker threat than walking
in the street. The anxiety reactions to the park situation were readily ex-
tinguished, and she was then instructed to walk alone on a quiet street
in her neighborhood. In this way, the client was gradually reexposed to
progressively more fear-provoking cues, until eventually she would walk
almost anywhere alone without experiencing anxiety or psychosomatic
reactions. Herzberg (1945) has employed similar graded performance
tasks in conjunction with interview methods for eliminating varied forms
of avoidance behavior and for promoting new response patterns. In some
of these cases, however, clients are presented relatively demanding tasks
with insufficient preparatory experiences that would assure more effec-
tive progress.
It should be noted in passing that treatment approaches utilizing

graded performance tasks are just as consistent with Miller's conflict

paradigm as theories that advise focusing on avoidance tendencies. That
is, unpunished evocation of weakly inhibited responses produces extinc-

tion effects that will generalize to the more strongly inhibited forms of
behavior, thus reducing the entire avoidance gradient. In this manner
anxiety associated with successively closer variants of the desired be-
havior can be progressively extinguished until clients are able to execute
the goal responses without experiencing undue emotional arousal. This
strategy has, in fact, been successfully applied to the modification of
agoraphobias (Jones, 1956; Meyer, 1957; White, 1962), claustrophobias
(Meyer, 1957; Walton & Mather, 1963a), compulsive response patterns
394 EXTINCTION

(Walton, 1960b), school phobias (Garvey & Hegrenes, 1966; Kennedy,

1965), severe sexual inhibitions (Haslam, 1965; Walton, 1960c), and more
circumscribed avoidance responses (Freeman & Kendrick, 1960). In a
series of interesting individual studies Foster (1967; Foster & Campos,
1964) was able to ameliorate clinical seizures and EEG dysrhythmia
evoked by stroboscopic stimulation or certain musical selections through
repeated presentation of the eliciting sensory stimuli initially at innocuous
levels and gradually approaching the evocative forms.
Walton & Mather (1963b) report that similar extinction procedures
yielded variable results with obsessive-compulsive behavior that pre-
sumably was originally conditioned to response-produced stimuli rather
than to environmental cues. In attempting to account for these diverse
outcomes, Walton & Mather distinguish between treatment strategies
aimed at extinguishing "the more basic conditioned autonomic drive
(CAD)" from those directed toward the elimination of avoidance be-
havior to generalized environmental stimuli. According to their reason-
ing, in acute anxiety disorders instrumental avoidance responses are
elicited by the underlying conditioned autonomic drive; consequently,
in the latter condition, treatment should concentrate on the extinction
of autonomic responsiveness since its removal will eliminate associated
avoidance responses without any direct intervention.
To support this supposition, Walton & Mather cite two successfully
treated males who displayed severe obsessive-compulsive disorders of
recent origin. In the one case, a handwashing ritual, which was believed
to be evoked by anxiety and guilt over violently aggressive fantasies,
disappeared after the passive client received training in self-assertive
behavior. Similar development of self-asscrtiveness in the second client
resulted in reduction of obsessional thoughts about homosexuality and
destructiveness, which were assumed to arise from anticipatory concern
over negative social reactions to his obsequious behavior.
In behavioral disorders of long standing, Walton & Mather main-
tain that cues other than those originally involved in the aversive condi-
tioning may, through the process of stimulus generalization, acquire
potency so that avoidance responses become "functionally auton-
eliciting
omous" or partially independent of the chronologically earlier CAD.
Hence, modification of chronic disorders would require the extinction of
both the initial conditioned autonomic responses and the avoidance be-
havior. Results from several chronic cases, which displayed only partial

improvement when their treatment was restricted either to the original

conditioned stimuli or to the avoidance responses themselves, are pre-
sented as tentative support for the latter hypothesis.
The assumptions made by Walton & Mather about the conditions
regulating avoidance behavior are disputed by a substantial body of
Extinction of Negatively Reinforced Behavior 395

evidence that avoidance behavior is not under autonomic control. These

findings,which are discussed at length in Chapter 7, support the view

that autonomic and instrumental avoidance responses are coeflects of
When emotional
aversive conditioning rather than causally linked events.
responses are conditioned to a particular stimulus, other cues falling on
the same physical or semantic stimulus dimension also acquire eliciting
potency through the process of generalization. A systematic behavioral
assessment would most likely reveal that both primary and secondary
stimuli evoke autonomic and avoidant responsiveness. Nor is the range
of stimulus generalization necessarily determined by temporal factors.
The autonomic-motor focus in treatment approaches proposed by Walton
& Mather, in fact, reduces to the question of whether emotional re-
actions should be extinguished to primary or to generalized stimuli rather
than to a drive-behavior distinction. The outcomes reported by the
authors are completely in accord with predictions from the principle of
generalization, that reduction in emotional behavior will be greatest to-
ward the stimuli that have been neutralized, regardless of where they
happen to fall on The decrements in condi-
the generalization gradient.
tioned emotionality would become progressively smaller the farther the
nontreated evocative stimuli are removed from those selected for extinc-
tion treatment.
In one of the reports (Walton & Mather, 1963b) that lends support to
the above formulation, a 24-year-old single female who had had an ex-
tremely moralistic upbringing suffered from severe sexual anxieties. Any
form of physical or social contacts with men, and even sexual intercourse
in wedlock, was considered sinful. Following adolescence, when exposure
to sexual information and a masturbatory episode generated intense
guilt feelings, the child's marked sexual anxieties generalized to urogeni-
tal functions. During time she developed an obsessive concern about
this
urination and defecation, and instituted elaborate toilet rituals designed
to ensure complete cleanliness. The anxiety responses further transferred
to animal feces and urine so that she also carefully avoided park seats,
lamp posts, and chairs in private homes containing pets. Because of her
inability to use public lavatories and benches, and her marked curtail-
ment of social interactions with men, the woman was eventually forced
to give up her job.
The treatment was designed specifically to decrease sexual anxieties
by pairing drug-induced relaxation with scenes of progressively more
intimate interactions with men. As a result, her anxiety responses to
heterosexual stimuli were markedly reduced:

She could pass men in the street, sit next to them on public vehicles,
wait in shop or bus queues with them and speak to them. She related
396 EXTINCTION

two such incidents with satisfaction. She had waited with a young man,
a stranger, for half an hour at a bus stop and had become engaged in a
lengthy conversation. This almost resulted in a date. On a second occa-
sion she renewed a childhood acquaintanceship with a young man of
her age [p. 167].

In accord with generalization principles, the client's generalized fear

of urination, defecation, and excreta, stimuli far removed from the pri-
mary sexual was only partially reduced.
stimuli,
In a second set of outcome data presented by Walton & Mather a
single woman developed obsessive concerns about contamination by dirt,
and compulsive handwashing rituals, subsequent to a guilt-producing
love affair with a married man. In this particular case, however, sexual
anxieties were untreated but compulsive responses to generalized elicit-
ing stimuli were extinguished. The woman was required to perform a
series of tasks graded according to their contamination value and potency
in evoking handwashing, such as use of public washbowls, toilets, and
seats, touching door knobs, picking up objects from floors, and walking
along dusty thoroughfares. The client's compulsive behavior was sub-
stantially reduced by this program but her sexual anxieties were undimin-
ished.
would appear from the data discussed above, together with labora-
It

tory findings on the generalization of extinction effects (Bass & Hull,

1934; Hoffeld, 1962; Hovland, 1937), that decisions about whether to
orient an extinction program toward primarv or generalized stimuli, or
both types of events, should be determined by the nature and range of
changes that one wishes to produce.
An interesting group application of graduated extinction is described
by Saul and his associates (Saul, Rome, & Leuser, 1946), in the treatment
of severe and widely generalized anxietv arising from traumatic military
experiences. The soldiers were shown, in a secure and relaxing context,
a graded series of movies of battle scenes beginning with exposures that
they could tolerate. Initially the films depicted preparatory battle scenes,
followed by motion pictures of surface and aerial bombardment from
which displays of injury and destruction were deleted. In later sessions
the soldiers were gradually presented more frightening combat scenes.
In addition to regulating the aversiveness of pictorial stimuli, the pres-
entation of anxiety-arousing combat noises was likewise controlled. At
first the battle scenes were shown silently, and only gradually was sound

Day by day the sounds of gunfire, explosions, and

introduced. aerial

bombardment were increased until full intensity was reached. As a fur-

ther safeguard against excessive emotional arousal, each soldier was

Extinction of Negatively Reinforced Behavior 397

provided his own volume control with which he could regulate the
amount of aversive stimulation.
An average of 12 showings of approximately 15 minutes each effec-
tively extinguished the soldiers' intense emotional responses, as shown
by reactions of calm, and even boredom, to scenes that had previously
terrifiedthem. Additional evidence that the soldiers had been successfully
desensitized is provided by their relatively undisturbed responses to a
test film of a Marine invasion depicting intense combat and severe casu-
Moreover, they were able to attend commercial movies, which most
alties.

of them had previously avoided because of the newsreels, and they dis-
played a generalized diminution of emotional responsiveness to a variety
of sounds, noises, and even music to which they had been formerly hy-
persensitive.
Results of the above study cannot be fully evaluated in the absence
of an untreated control group and more systematic assessment of changes
in emotional responsiveness. However, the favorable outcomes yielded
by modeling studies utilizing films graduated in aversiveness (Bandura
& Menlove, 1968) suggest that group extinction procedures involving
pictorially presented threats could be employed effectively to extinguish
common fears that are no longer appropriate.

ROLE OF POSITIVE INCENTIVES IN EXTINCTION

The selection of appropriate performance tasks and their sequential
arrangement is usually given detailed consideration, but the important
role played by incentive factors in extinction programs is often over-
looked. Even though a change agent has planned an optimal sequence
of activities, his efforts will be of little avail unless individuals carry out
the necessary procedures that have been prescribed for them. Consider-
ing that the program, be successful, requires people to enter into
if it is to
threatening situations were previously avoided and to perform
that
fear-provoking responses, some degree of reluctance or even opposition
is not unexpected. Fortunately, there are several factors that support
approach efforts despite anxiety. The distress and impaired functioning
created by inappropriate fears and inhibitions, coupled with expectations
of eventual benefits, undoubtedly serve as strong inducements to engage
in formerly inhibited activities. In addition, social rewards in the form
of interest and approval from change agents and other significant indi-
viduals function as positive incentives for performing essential behaviors.
Finally, the skill withwhich extinction experiences are organized is an
hampering behavioral change. If people
influential factor facilitating or
are initially encouraged to carry out inhibited behaviors under highly
favorable conditions, the possibility of adverse outcomes, which might
398 EXTINCTION

jeopardize positive motivation, is minimized. By making the progression

in each successive assignment so gradual that failures seldom occur
the rewards associated with continual tangible progress will help to
strengthen willingness to attempt more difficult tasks. In some cases,
however, change agent may have to introduce more powerful
the
positive incentives to keep individuals in subjectively threatening situ-
ations. Moreover, when the extinction program is self-managed in every-
day situations, as is frequentlv the case, performance tasks must be
specified in considerable detail if they are to be implemented by clients
with high probability of success.
The influential role of feedback in sustaining and accelerating ex-
tinction of phobic behavior isshown by studies in which precise feed-
back of performance is sequentially added and removed. In one experi-
ment (Leitenberg et al., 1968) claustrophobic and knife phobic women
were instructed to engage in feared activities for progressivelv longer
durations, under conditions where for each trial, they recorded the
exact time spent in a small room or looking at knives or did not receive
any time feedback facilitated behavioral change, omission
scores. Explicit
of time scores produced a decline in performance, and reinstatement of
feedback led to renewed improvement. However, adding praise to in-
formative feedback did not further enhance the rate of progress. Using
a similar sequential design, Agras, Leitenberg, & Barlow (1968) demon-
strated that performance feedback was also a powerful factor in eliminat-
ing severely agoraphobic behavior (Figure 6-10). These findings indicate
that failure to recognize progressive improvement in performance can
seriously hinder progress and create unnecessary feelings of discourage-
ment.
It is important to bear in mind that not all avoidance behavior
necessarily represents an anxietv problem. In some instances, the original
aversive conditions have ceased to operate and the avoidance behavior is,
in fact, primarily maintained by its positive consequences. A school-
phobic child, for example, may continue to avoid scholastic situations
after they have lost their threatening value because of increased atten-
tion and other rewards associated with remaining at home. Under these
conditions, a fear-extinction program would be inappropriate and
fruitless. If any significant behavioral change is to be achieved the rewards

associated with avoidance behavior must be withdrawn and made con-

tingent upon more beneficial modes of response.
In manv instances avoidance behavior is supported by both positive
and negative reinforcers. Hence, partial attainment of the treatment
objectives may produce some disappointment because of the loss of
benefits formerly derived from the behavior disorder. In such cases,
adequate substitute rewards must be provided. It may also be advisable
Extinction of Negatively Reinforced Behavior 399

Figure 6-10. Effect of social reinforcement and nonreinforcement of perform-

ance improvements upon the rate of progress of two agoraphobic clients.
Agras, Leitenberg, & Barlow, 1968.
400 EXTINCTION

to delay temporarily the removal of deviant behavior that has high

functional value until alternative sources of reward are established. One
must, therefore, identify the factors maintaining deviant behavior before
embarking on change programs, and utilize this information in preparing
individuals for changes in accustomed reinforcement that their recovery
will most likely produce.

EXTINCTION THROUGH PROLONGED OR MASSIVE EXPOSURE

TO AVERSrVE STIMULI
In the preceding extinction approach, aversive stimuli are initially

presented at low intensities that are easily tolerable, and more stressful
situations are gradually introduced as emotional responses to weaker
threats are progressively eliminated. Considering that in laboratory in-
vestigations extinction is typically carried out in relation to aversive
stimuli at training intensity, it is evident that fear extinction can be
achieved without stimulus graduation. Indeed, even prolonged or massive
exposure to aversive stimuli at high intensities may produce rapid and
stable extinction of avoidance responses.
Polin ( 1959) trained animals to jump a hurdle at the sound of a buzzer
in order to avoid electric shock. The animals were then given four days of
differential extinction training: One group received 20 trials daily of
five-second exposures to the buzzer with a physical barrier erected to
prevent the avoidance response; the "flooding" group each day received

4 6 8 10 12

Extinction Phase I Reextinction Phase II

13 days of 20 trials each 10 days of 20 trials each

Figure 6-11. Rate of extinction and reconditioning of avoidance behavior

eliminated by different extinction procedures. Polin, 1959.
Extinction of Negatively Reinforced Behavior 401

100 seconds of continuous auditory stimulation in a free-responding

situation; the control group was merely given a four-day rest. In subse-
quent phases of the experiment, all animals received an identical series
of regular extinction trials, followed by two days of avoidance recondi-
tioning in which the buzzer was again associated with electric shock, and
a final series of regular re-extinction trials.

As summarized graphically Figure 6-11, animals that experienced

in
long durations of continuous exposure to the fear-arousing stimulus
extinguished avoidant responding considerably faster than either the
control or barrier group in both extinction phases. The results further
revealed that extinction based on forced exposure through physical
restraints had no lasting value and may, in fact, have prevented the
elimination of avoidance behavior. If responses are physically restrained,
they cannot occur and therefore they cannot be eliminated through
nonreward. Thus, initially, the physically restrained subjects showed more
rapid extinction than the controls, but in both the later phases and in the
re-extinction, the barrier group displayed a much higher incidence of
avoidant responding even though the groups started at the same recon-
ditioned level.
Stampfl ( Stampfl & Levis, 1967 ) has developed a method of treatment,
entitled implosive therapy, which
based on massive exposure of clients
is

to highly aversive stimuli in imaginal form. Evaluation of this particular

approach is somewhat complicated by the fact that the conceptualization
of psychological disorders appears to have limited relationship to the
extinction procedure actually employed. It is assumed that stimuli most

closely associated with traumatic experiences are invested with intense

anxiety and are, therefore, repressed and inaccessible. Other stimuli
more remotely connected with the trauma also acquire anxiety-arousing
properties, but to a lesser degree. These weaker aversive stimuli, that are
experienced as frightening, elicit avoidance behavior even though the
focal threat is absent. The avoidance responses activated at the early
stage of the stimulus sequence successfully protect the remaining, more
threatening elements from extinction.
In laboratory studies cited in support of the above formulation,
Levis (1966, 1967) employed a paradigm in which animals underwent
regular aversive conditioning except that several distinct stimuli preceded
the onset of shock stimulation. In one experiment, first a door of the shock
compartment was raised, six seconds later lights flashed, then a buzzer
was sounded which was, in turn, followed by shock. During extinction
trials animals quickly exited from the threatening compartment at the
appearance of the first signal of danger, thus preventing reexposure to
the remaining aversive stimuli. Eventually avoidance responses to the
initial cue were extinguished but the resultant contact with the second
feared cue, which retained aversiveness transmitted by the primary
402 EXTINCTION

experiences, temporarily reinstated the arousal potential of the first

stimulus so that it regained its capacity to maintain avoidance behavior for

some time before it was permanently neutralized. A similar, though pro-
gressively shorter, reacquisition process occurred with each stimulus in
the sequence, resulting in a phenomenal amount of avoidance responding.
One animal, for example, performed 921 avoidance responses to the
most remote stimulus, 75 to the second fearsome cue, but only 4 to the
stimulus directly associated with the painful experiences.
The above paradigm is well suited for demonstrating sequential con-
ditioning and extinction of aversive stimuli, but it is unclear what rele-
vance, if any, the concept of repression has to the phenomenon. The
term repression is usually employed to denote thought inhibition. The
arousal potential of an aversive stimulus can be preserved from extinc-
tion by avoidance of preceding cues regardless of whether or not the
protected events are symbolically represented. Furthermore, the fact
that one stops thinking about fear-provoking situations does not prevent
him from being repeatedly exposed to them.
Implosive therapy based on the premise that extinction of anxiety
is

can be most effectively achieved by repeated elieitation of intense emo-

tional responses without the occurrence of physically injurious conse-
quences. Mainly for reasons of ease, the emotional responses are activated
symbolically. The therapist vividly describes the most revolting and terri-
fying experiences conceivable, and clients are urged to imagine them-
selves actively engaged in these shocking activities. A compulsive hand
washer who is obsessed about dirt, for example, is asked to visualize him-
self reaching into a wastebasket and then withdrawing his hand, which
is depicted as dripping with a sickening mixture of mucus, saliva, vomit,
and feces. If the dirt phobia is believed to arise from anxiety over anal
functions, the client is further instructed to imagine himself residing in a
septic tank where he eats his meals, entertains his friends, and mushes
around in this soggy abode. Stampfl reasons "that he who has lived in a
septic tank need not fear the dirt found in a wastebasket." This is obvi-
ously not a method for fastidious therapists. The distressing scenes are
presented again and again with appropriate embellishments until they
cease to evoke emotional reactions. This procedure is repeated with
other variations on major sources of disturbances. In order to accelerate
the process of extinction, clients are also instructed to recreate disturbing
scenes imaginally on their own between treatment sessions.
Relatively little time is spent in ferreting out the crucial sources of
anxiety in any given case. This is due, in part, to the assumption that
extinction of emotional responsiveness to extremely fearsome situations
will generalize broadlv to less frightening ones. A second reason is that
the anxiety elicitors assumed to be repressed are routinely selected from
a limited set of categories relating to aggression, sex, rejection, oral and
Extinction of Negatively Reinforced Behavior 403

anal functions, bodily injury, punishment, loss of impulse control, and

guilt.
Extinction is initially carried out with environmental stimuli that are
evident elicitors of avoidance behavior. After these "symptom-contingent"
cues, which are believed to be the least anxiety provoking, have been
neutralized, clients are repeatedly presented with the hypothesized re-
pressed events in harrowing forms. It seems exceedingly improbable

from the case material cited that the heterogeneous cues selected for
extinction could have occurred sequentially in traumatic conditioning.
There is also some ambiguity in the implementation of implosive proce-
dures because no explicit criteria are presented for determining when
treatment should be confined to the evident determinants of avoidance
behavior or extended to hypothetical sources of anxiety. Clients may
therefore be needlessly subjected to aversive stimulation while therapists
are neutralizing hypothesized determinants of questionable relevance.
The loose relationship between conceptual rationale and practice is
further shown in experimental evaluations of implosive therapy where
supposedly dynamically significant contents are never pursued.
Results of animal experimentation (Polin, 1959; Poppen, 1968) and
a few clinical applications (Malleson, 1959) indicate that avoidance
behavior can be extinguished by prolonged or massive exposure to sub-
jectively threatening stimuli. Preliminary studies (Hogan, 1966; Levis
& Carrera, 1967) demonstrating that implosive therapy produced greater
reduction in deviant responses on the MMPI test than conventional
treatment were somewhat unconvincing because of the weak criterion
measure employed. Subsequent laboratory investigations present evi-
dence, based on objective measures of behavioral change, that this
method can achieve extinction of avoidance behavior. In one experiment
(Kirchner & Hogan, 1966) coeds who feared rats were either assigned to
a control condition in which they were instructed to imagine pleasant
scenes while listening to music, or they received group implosive therapy.
To minimize possible social influences, subjects in the latter condition
listened through earphones in a language laboratory to a one-hour tape-
recording that described, among other frightening scenes, rats biting,
ripping flesh and attacking a person en masse. A test for avoidance be-
havior disclosed that 62 percent of the subjects in the implosive condi-
tionwere able to pick up a white rat, while 26 percent of the controls
performed the same behavior. Essentially similar outcomes were obtained
in a second experiment (Hogan & Kirchner, 1967) on the basis of a
single session of individual implosive treatment. Sixty-seven percent of
the treated subjects, and 9 percent of the controls, could pick up a rat in
a subsequent behavioral test.

The efficacy of this method was further evaluated in a comparative

study (Hogan & Kirchner, 1968) with coeds who feared snakes. One
404 EXTINCTION

group participated in a 45-minute implosive session in which they were

asked to imagine slimy snakes crawling over them, biting them relent-
lessly, and finally wrapping tightly around their necks, slowly strangling

them. A second group of subjects, assigned to a verbal therapy condition,

discussed their interpersonal relationships, their prior experiences with
snakes, and were reassured that snakes are harmless. The third group of
subjects read material concerning the myths and habits of snakes. Whereas
the percentage of subjects able to pick up a snake after treatment did not
differ significantly in the implosive (70 percent) and the verbal therapy
(40 percent) groups, these subjects were considerably braver than those
receiving bibliotherapy (10 percent). Moreover, the implosive procedure
was successful with 67 percent of the coeds who had previously failed to
pick up the snake after completing verbal therapy or bibliotherapy. The
fact that a brief verbal discussion produced criterion performances in 40
percent of the cases suggests that either the avoidance behavior of many
of the subjects was relatively weak to begin with or the was not suf-
test

ficiently difficult. In future assessments of implosive therapy, it would

therefore be of value to require more fear-provoking performances
toward the phobic objects, and to test for the generality and stability
of behavioral changes brought about by this method.
Contrary to results of the foregoing studies, Mealiea 1967 ) reports (

findings based on a well-designed experiment that cast doubt on the

efficacy of the implosive method. Snake-phobic subjects were adminis-
tered either taped desensitization, implosive therapy that evoked extremely
anxiety-arousing imagery, a modified desensitization procedure in which
relaxation was paired with scenes taken from the implosive treatment, a
pseudotherapy combining relaxation with pleasant imagery, or no treat-
ment at all. The snake-approach behavior performed by the different
groups of subjects prior to treatment, immediately after treatment, and
a month later is summarized graphically in Figure 6-12. Graduated
desensitization proved superior to the other conditions in reducing avoid-
ance behavior toward a snake and a second feared animal that served as
a measure of generalization. However, subjects who received implosive
therapy did not differ from any of the control groups. In view of these
negative results, the implosive method should be utilized with caution
until it has been subjected to further laboratory tests.

A distinction should be drawn between flooding procedures in which

conditioned aversive stimuli are simply presented in intense forms from
implosive procedures that provide vivid accounts of hazardous conse-
quences that the feared objects can produce. There is considerable dif-
ference between exposing people repeatedly to a fearsome collection of
rodents without any adverse effects and depicting them eating human
flesh. Some of the portrayed consequences may never have occurred to

phobic subjects and could establish, at least temporarily, a new basis of

Extinction of Negatively Reinforced Behavior 405

Desensitization

Implosive treatment
Modified desensitization
16 Pseudo- desensitization
Control

15

14

13

12

10

Pre -Test Post -Test Follow Up

Figure 6-12. Mean number of snake-approach responses performed by subjects
in each of five conditions before treatment, immediately after treatment, and
a month later. Plotted from data of Mealiea, 1967.

fearful self-arousal. It is interesting to note in this regard that the types

of shocking and nauseating consequences employed in implosive therapy
to extinguish avoidance behavior are also being used to create strong
aversions toward attractive or addictive objects. It is entirely conceivable
that aversive stimuli may have markedly different effects depending
upon subjects' fear level and the valence of the objects with which they
are paired. There is also reason to expect that conditioned aversive
stimuli might initially increase negative responsiveness but with repeated
presentations would eventually lose their emotion-arousing capacity. To
gain a better understanding of both fear-extinction and avers ion- condi-
tioning processes would require detailed analysis of changes in the
magnitude and quality of emotional arousal over a series of trials in
which aversive experiences are elicited in conjunction with attractive,
neutral, and fear-provoking objects.

EXTINCTION BASED ON MASSED EVOCATION OF RESPONSES

Repeated nonreinforced evocation of effortful behavior creates aver-

sive consequences in the form of pain and fatigue, which inhibit responses
that will produce the discomfort. Successive extinction operations of this
type typically result in progressive decline, and eventually complete
ehmination, of the behavior. The method of massed performance has
406 EXTINCTION

been applied on a limited basis to incapacitating tics and other spasmodic

movements that have proved refractory to a host of medicative and
psychological ministrations.
These patterns of muscular contraction are usually conceptualized as
conditioned avoidance responses that were originally evoked in highly
traumatic situations (Yates, 1958). It is assumed that tics probably
occurred by chance in close temporal proximity to the termination or
reduction of intense aversive stimulation and, through the accidental
correlation, they acquired emotion-reducing qualities. Muscular con-
traction has some inherent pain- and tension-reducing value which would
further enhance the self-reinforcing character of such responses. The
fact that the rate of tics increases under conditions of stress and excite-
ment is considered as suggestive evidence for the "tension-reduction"
interpretation.
It is impossible to unravel from retrospective accounts the actual
contingencies under which tics are established; there is nevertheless
ample observational evidence that animals in aversive conditioning experi-
ments frequently acquire tic-like responses that are highly resistant to
extinction long after noxious stimulation has been discontinued. Con-
sidering, however, that persistent stereotyped movements have also been
established through adventitious reinforcement in experiments employing
reward contingencies (Skinner, 1948), it is probable that tics, in fact,
originate under a variety of learning conditions.
Avoidance responses that are automatically self-reinforcing upon
occurrence can be eliminated in several different ways. In a stimulus-
oriented approach one would neutralize the conditioned aversive stimuli
controlling the occurrence of avoidance behavior. On the other hand, in a
response-oriented approach, efforts are made to nullify the rewarding
value of avoidance responses either by externally administered negative
consequences (Barrett, 1962; Goldiamond, 1965), or by massed evocation
that results in response-produced aversive effects. Desensitization pro-
cedures have not been utilized to eliminate tics, but reactive extinction
methods have.
One factor that influences the rate of extinction based on reactive
procedures is the frequency with which the responses are performed.
In general, there tends to be little diminution in the strength of avoidance
behavior when extinction trials are widely distributed, whereas under
conditions of massed evocation aversive effects presumably build up
rapidly, and, consequently, extinction is accelerated (Calvin et al., 1956;
Edmonson & Amsel, 1954). In accord with laboratory findings, Yates
(1958) reports that massed evocation of responses in which a woman
voluntarily performed multiple tics for as long as one hour, followed
by prolonged rest, was the most effective procedure for extinguishing the
motor responses. After the experimental program, the client carried out
Extinction of Negatively Reinforced Behavior 407

the exercises at home (Jones, 1960) and recorded the number of tics

that she was able to produce intentionally during each one-minute

period. The results show a progressive decline in the rate of voluntarily
emitted responses with successive extinction periods, as well as a signifi-
cant reduction in her involuntary tics in everyday situations.
Clark (1966) treated three adults, all of whom manifested explosive
repetition of obscenities or other expletives along with various motor
tics.Because of this peculiar behavior one of the males was unable to
appear in public or retain any friends, while the second was in danger
of losing his job because of his incessant loud barking. A massed-practice
regimen was employed in which the clients repeated the verbal tics as
often as possible until they could no longer emit them. One of the three
cases, a female in whom the motor tic was more prominent, discontinued
treatment after a reluctant start; in the other two, the muscular spasms
disappeared spontaneously as the verbal tics were successfully extin-
guished. The clients remained free of tics as corroborated by recorded
follow-up interviews.
Similar positive results are reported by Costello (1963) in the treat-
ment of a 12-year-old boy who displayed a persistent eye-blink tic. The
boy was initially instructed to produce the tics deliberately in front of
a mirror for five-minute periods several times a day. The duration of the
massed practice was then gradually increased to one-hour sessions.
Although no quantitative data are presented, it is reported that the fre-
quency of tics declined markedly and remained at a low level when
evaluated again one year later.
On the assumption that extinction occurs faster under conditions of
low rather than high drive states, Walton (1961; 1964) utilized massed
performance combined with medication to reduce emotional arousal in
eliminating severe tics in two boys. One of the tiqueurs exhibited violent
arm and movements that made it exceedingly difficult for him to eat
leg
his meals, and unsettled anyone in his immediate vicinity; the second
suffered for eleven years from vigorous head-shaking and explosive nasal
expiration. In both cases the tics were durably eliminated by reactive
extinction. The contribution of the medication to these changes cannot be
assessed, however, in the absence of cases treated without the pharmaco-
logical supplement. Even though responses may be extinguished more
rapidly in a tranquilized than in a nondrug state, the clinical use of drugs
may be contraindicated. The reason for this, as will be shown later, is

that extinction effects achieved in the drug condition often fail to trans-
fer to the nondrug state.

Contrary to the preceding favorable outcomes, Feldman & Werry

( 1966 ) were unable to achieve any decline in head-jerking and eye-
blinking tics in an adolescent boy through massed practice. The authors
ascribe the failure to the presence of high anxiety. It is entirely possible
408 EXTINCTION

that the conflicting findings are partlv due to considerable differences in

the way in which extinction was conducted. Previous investigators have
utilized prolonged periods of massed performances lasting several hours,
whereas in the study by Feldman & Werry the boy performed the head
tic for only five-minute sessions because of dizziness, while the eye-blink
served as an unpracticed control. However, this interpretation may not
fully account for the discrepancies. Data published by Abi Rafi (1962)
show that even thesame procedure of extended response evocation may
produce differential results. In one case, a man who lost considerable
sleep because of interference from pronounced facial grimacings bene-
fited greatly from this method. The second ease was an elderly woman
who was forced to relinquish many activities she enjoyed because of
a foot-tapping tic that was highly disturbing to others. Prolonged massed
evocation failed to produce any appreciable response decrement. Her
obstinate tic was subsequently modified successfully by self-control
training in which incipient foot movements activated a buzzer to prevent
further responding. One might wonder, because of the client's favorable
response to a simple alternative treatment, whether greater progress
would be achieved in behavioral modification if failures were less fre-
quently attributed to inferred anxiety states.

The studies reported above indicate that a program of prolonged

massed practice can extinguish extremely persistent tics, but the specific
factors responsible for the observed changes and the most efficacious
procedures cannot be determined from these data. The interpretation of
results is especially complicated when medicinals or other methods are
utilized in conjunction with repeated performance. Even the recom-
mended optimum conditions of massed practice must be accepted with
reservation, since the supporting experimental data (Yates, 1958) are
based on which both duration and intensity of responding
a single case in
were continuously varied; consequently, it is bv no means clear whether
changes in extinction rate represent the cumulative effects of prior
nonreinforced performance or variations in duration of evocation sessions.
If response-produced aversive effects play an influential role in the effi-
cacy of massed-practice methods, it would be of considerable interest to
investigate extinction rates as a function of both length of repeated per-
formance and According to the inhibition hy-
effortfulness of response.
pothesis, increased effortfulness, which could be varied in terms of the
vigor with which responses are performed, should result in faster ex-
tinction.
The elimination of persistent behavior under conditions of massed
nonreinforced evocation is generally attributed to the development of
conditioned inhibitory responses from reactive fatigue states.
arising
As noted earlier, however, interfering responses can originate from a
variety of sources; therefore, extinction outcomes may reflect several
Extinction of Negatively Reinforced Behavior 409

different processes. Moreover, some reduction in tics is probably attribut-

able to increased efforts at self-control (Barrett, 1962).

EXTINCTION IN INTERVIEW APPROACHES

Interview treatment approaches generally consider permissiveness

to be an important condition for therapeutic change. It is expected that
when a client repeatedly expresses thoughts and feelings which, as a
result of a previous history of punishment, elicit anxiety or guilt, but which
the therapist does not disapprove or criticize, the client's inappropriate
emotional responses will be gradually extinguished through nonreinforce-
ment. It is further assumed that extinction effects will generalize to
thoughts concerning related topics which also may be inhibited, and to
the corresponding verbal and physical behavior as well ( Dollard & Miller,
1950).
Some suggestive evidence for the relationship between permissiveness
and extinction of conditioned emotionality associated with verbal behavior
is provided in two studies reported by Dittes ( 1957a, b ) In one
. investi-
gation ( 1957b ) , involving analyses of specific client-therapist interaction
sequences, Dittes found that permissive responses on the part of the
therapist toward sexual statements were followed by decreases in the
client's autonomic responses, resistive or avoidant remarks, and inter-
ruptions in speech. A sequential analysis of 30 psychotherapeutic inter-
views with the same client revealed that initially sexual statements were
accompanied by strong emotional but with repeated evocation
arousal,
anxiety responses to verbal sexual expressions were gradually extin-
guished.
There is every reason to expect that if psychotherapists respond fa-
vorably toward their clients' verbal expressions of thoughts and feelings
that were previously punished, the attendant emotional responses will
eventually extinguish.The critical issues, therefore, that remain to be an-
swered are concerned with the degree of generalization of extinction ef-
fects to nonverbal behavior and to other persons. These questions are
particularlycritical since it is not uncommon for clients to express
thoughts and feelings freely within the safety of the interview setting, but
to remain inhibited and fearful everyday interactions. If a satis-
in their
factory degree of transfer can be demonstrated, which is doubtful in view
of the generally discouraging outcome data, controlled studies would be
needed to assess the relative efficacy of verbal extinction procedures and
approaches employing graded performance tasks in eliminating inappro-
priate affective and avoidant behavior.

"Abreaction" and Extinction. Changes effected by abreactive proce-

dures, in which clients are induced by hypnosis, intravenous barbiturates,
or inhalational anesthetics to revivify past traumatic events, may likewise
410 EXTINCTION

be explained in terms of an extinction process. During symbolic rein-

statement of traumatic episodes, individuals typically express the intense
emotional responses experienced at the time of the fear-provoking inci-
dents. The emotional expression is also frequently accompanied by a re-
duction in avoidance behavior that was originally elicited in the traumatic
situation and subsequently generalized to other similar stressful situa-
tions.
The process of traumatic aversive conditioning, generalization, and
extinction is illustrated in a successful ether abreaction of an anxiety dis-
order apparently originating in a gruesome battle experience 18 years
earlier ( Little & James, 1964 The client had shot two young soldiers in
) .

the back with a concealed weapon while being taken captive near enemy
lines. After disarming two other soldiers, he burst through a doorway in
a small farmhouse to find 12 enemy troops in the process of wakening. He
stood guard over them for 10 strained hours, finally shot their sergeant,
who kept urging the soldiers to rush their captor, and brought in the
prisoners when fell. The next day he developed a temporary para-
night
plegia when a grenade exploded nearby. Following his army dis-
rifle

charge, the client continued to experience chronic anxiety and guilt,

avoided all military functions and, for 18 years, was unable to open and
walk through a door if he could hear voices on the other side.
The client received five abreaction sessions in which he recreated, in
action and with violent emotion, the traumatic military episode. The au-
thors report progressive reduction in anxiety and guilt with each session.
Moreover, the door phobia was eliminated, and according to the 12-month
follow-up report, the client extended his range of social interactions and
continued to experience no difficulties in walking through doors anywhere.
The hypnotic and pharmacological abreactive techniques currently
in use are derived historically from the early work of Freud & Breuer
( 1940 ) , who employed hypnotic abreaction in the modification of func-
tional sensory-motor disorders such as anesthesias, neuralgias, paralyses,
visual disorders, epileptoid convulsions, and other forms of defensive
reactions. This method, however was abandoned by Freud in favor
of free association and interpretive procedures because affective expres-
sion appeared to produce only a temporary elimination of the associated
behavioral disorders.
As shown earlier, in order to achieve permanent or complete extinction
of emotional responses it is necessary to present the fear-provoking stim-

ulirepeatedly without reinforcement. During the course of extinction,

emotional responses are likely to reappear at some strength, although the
amount of recovery diminishes with successive extinctions. It is, there-
few extinction sessions, in which a client was
fore, not surprising that a
symbolically reexposed to highly traumatic stimulus events, failed to re-
Extinction of Negatively Reinforced Behavior 411

duce emotional responding to a stable zero level. Had Freud extended the
extinction series it is probable that his original "cathartic" procedure

might have proved more efficacious than the protracted interpretive form
of treatment that he subsequently adopted.
An interesting laboratory demonstration of the progressive decline of
emotional behavior with repeated hypnotic abreactions of a traumatic
episode is furnished by Lifshitz & Blair (1960). The subject, a 23-year-
old female, revivified under hypnotic age regression a near drowning that
she had experienced at 10 years of age. "She was at the beach with her
father and waded too far out into the water, was knocked down by a
succession of waves, inhaled and swallowed water, and was in fear of
drowning when rescued by her father [p. 248]."
Under hypnosis the subject spontaneously recalled this specific
episode seven times, during each of which the following autonomic reac-
tions were continuously recorded duration of abreaction as revealed prin-
:

cipally by facial expressions; basal heart rate immediately prior to the

description of the unpleasant experience; maximum respiratory rate
during abreaction; GSR reactivity; frontalis muscle activity; cheek tem-
perature; and total body movement. As shown in Table 6-1, repeated non-
reinforced evocation of emotional responses to the past traumatic event
produced a diminution of emotional responsiveness. The fact that the
subject continued to exhibit marked physiological responses to other un-
related traumatic incidents indicates that the former changes reflect a
genuine extinction effect, rather than a general adaptation process.
Abreactive procedures are probably best suited for producing rapid
and stable extinction of emotional responses developed in traumatic con-
no longer present. Clinical
itioning situations, provided that the threats are
case data (Shrovon & Sargant, 1947) seem to bear this out, although in
instances where abreaction is used in conjunction with drastic environ-
mental changes as well as other treatment procedures, it is impossible to
isolate the factors responsible for the reported behavioral modifications.
Traditional accounts of the abreactive process generally ascribe bene-
ficial outcomes to the "discharge of pent-up emotions" and the "working
through" of spontaneouslv recalled material. From a learning point of
view, the critical therapeutic factor is the repeated elicitation of emo-
tional responses without reinforcement rather than the energy discharges
or the historical insights. For this reason, it is not unexpected that persons
who express strong hostile, dependent, or depressive feelings while under
the effects of barbiturates or anesthetics fail to attain enduring benefits
(Hordern, 1952) when the reinforcement contingencies generating and
maintaining these unpleasant emotional states remain unaltered. Dis-
cussions of the efficacy of abreactive procedures are usually confined to
the influence of clients' personality characteristics and emotion induction
412 EXTINCTION

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Summary 413

procedures, hypnotic, barbiturate, or anesthetic. However, both in theo-

rizing and in clinical practice, virtually no attention has been devoted to
the variables that determine the rate of extinction.

Summary
In the process of extinction, when the reinforcing consequences for a
particular response pattern are consistently discontinued, the recurrence
of the behavior is diminished and eventually ceases. Since the decre-
mental effects of nonreinforcement are controlled by many variables,
several different theoretical interpretations of extinction have been pro-
posed.
Contrary to the connotation of the term, extinguished behavior is dis-
placed rather than permanently lost. In fact, nonreinforced behavior is

often abandoned without being performed solely as a result of observing

changes in conditions of reinforcement, and it is easily recovered by rein-
stating the original reinforcement contingencies. Such rapid changes in
behavior suggest that extinction phenomena primarily reflect the opera-
tion of cognitively mediated inhibitory sets rather than the alteration of
specific stimulus-response associations. That is, when an organism discerns
that the usual response consequences have been discontinued, the behav-
ior is discarded and supplanted by alternative response patterns. How-

ever, in the case of severe avoidance behavior, cognitive control may be

relatively weak and the absence of aversive consequences must be repeat-
edly experienced, either directly or vicariously, before the behavior is

abandoned.
Under conditions where no reinforcement is externally administered
during the extinction phase, assumed that continued performance
it is

of nonrewarded behavior generates aversive effects and its cessation pro-

vides negative reinforcement for competing response patterns. This may
take the form of fatigue reduction, elimination of aversive emotional
effects resulting from the omission of expected rewards, or fear reduction
resulting from the absence of aversive consequences.
Behavior that is maintained by positive reinforcement is extinguished
by discontinuing its rewarding consequences. Omission of expected re-
wards for given performances can generate aversive emotional effects
that function analogouslv to punishment, as shown by evidence that
stimuli previously associated with nonreward acquire arousal capacity,
their presence reduces responsiveness, and escape from cues signifying
nonreward can reinforce new performances. As behavior is reduced
through nonreward, alternative modes of response eventually emerge.
The degree of behavioral variability and the characteristics of the new
actions occurring during the course of extinction depend upon the op-
414 EXTINCTION

have previously learned for securing reinforcement.

tions that individuals
Reliance on extinction alone, therefore, does not guarantee that desired
response patterns will appear unless they happen to be strongly de-
veloped. Behavioral changes can be hastened and effectively controlled,
however, by combining extinction of undesired responses with stimulus
control procedures and with modeling and positive reinforcement of
competing response tendencies.
Extinction of avoidance behavior is achieved by repeated exposure
to subjectively threatening stimuli under conditions designed to ensure
that neither the avoidance responses nor the anticipated adverse con-
sequences occur. The major obstacle to eliminating defensive behavior
arises because successful avoidance of events that are no longer danger-
ous preserves their aversiveness and forestallment of anticipated conse-
quences reinforces the defensive activities. Attempts have been made to
facilitate extinction of avoidance behavior by blocking its occurrence in
the presence of fear-arousing stimuli. Such forced exposure may simply
produce other types of avoidance responses without altering the arousal
potential of the feared situations.
Inappropriate defensive behavior is most frequently eliminated by
an extinction procedure involving gradual stimulus change. This is

achieved by reexposing individuals initially to aversive stimuli at weak

intensities thatdo not evoke avoidance responses, and then to gradually
increasing threats until the most fearsome situations have been com-
pletely neutralized. If the aversive stimuli are increased in sufficiently
small increments emotional behavior can be successfully extinguished
with minimal fear elicitation and avoidance responding.
The third and most recently developed extinction procedure involves
prolonged and massive exposure to intensely disturbing events that are
symbolically created. Preliminary findings show that avoidance behavior
can be eliminated in this manner, but the full effects of this method
have not as yet been adequately evaluated.

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 7 Desensitization
through
Counterconditioning

Of the various methods of behavioral modification derived from

learning theory, those based on the principle of counterconditioning are
most widely applied to behavior in which conditioned emotionality plays
a prominent role. These psychological conditions, which are most fre-
quently seen in conventional interview treatments, include anxiety states,
chronic tensions, and other forms of autonomic overactivity reflected in
a variety of somatic disturbances of a functional nature. Conditioned emo-
tionality is also involved in most behavioral inhibitions and avoidant re-
sponse patterns.
The introductory chapter discussed the process whereby formerly
neutral events, through their conjunction with aversive experiences, ac-
quire emotion-arousing properties. If negatively valenced events are re-
peatedly associated with positive experiences, the stimuli gradually lose
their aversive quality. This outcome is achieved by eliciting activities that
are incompatible with emotional responses in the presence of fear- or
anxiety-arousing stimuli.

RELATIONSHIP BETWEEN EMOTIONAL CONDITIOxNING

AND INSTRUMENTAL RESPONDING
Most of the densensitization procedures that will be discussed in this
chapter are predicated on the assumption that elimination of conditioned
emotional arousal will decrease or eliminate instrumental avoidance be-
havior. In the present discussion emotional arousal encompasses both
autonomic and central arousal processes. This outcome presupposes that
mediating control over instrumentally
classically conditioned effects exert
Desensitization through Counterconditioning 425

learned behavior. It has been demonstrated in numerous experiments

with infrahuman subjects that avoidance responses to a given stimulus
can be established through prior classical pairings of that stimulus with
aversive experiences (Rescorla & Solomon, 1967). These studies typically
employ a three-stage paradigm in which animals
initially learn to make
instrumental avoidance responses to aversive stimulation in the absence
of the critical cues. In the second phase, the animals undergo a classical
conditioning procedure in which one tone (S~ ) is repeatedly paired with
shock to endow it with arousal potential, whereas a different tone (S°)
is never associated with shock stimulation so as to preserve its neutral
properties; during the phase of classical conditioning the animals are
skeletally immobilized by curare to prevent instrumental responding.
After the differential emotional conditioning has been completed, S~ and
S° are presented at random under conditions where subjects are
intervals
free to make motor responses, and the frequency with which these two
stimuli elicit avoidance responses is measured. The stimulus that has been
endowed with arousal capacity characteristically evokes high rates of
avoidance behavior, which rarely occurs in the presence of the neutral
stimulus. Moreover, other variables in classical conditioning that affect
the activating properties of stimuli generally produce corresponding dif-
ferences in instrumental avoidance behavior. It has also been shown that
pairing of a stimulus with rewarding experiences in advance later facili-
tates learning and retards extinction of instrumental responding to the
same or similar cues (Bower & Grusec, 1964; Tfapold & Winokur, 1967).
Although the influence of classically conditioned processes on instru-
mental responding has been well established, the nature of the mediators
and the mechanisms through which behavioral control is achieved have
not been determined. Several alternative explanations have been proposed
and tested primarily with aversive conditioning paradigms (Rescorla &
Solomon, 1967). Painful stimulation elicits not only internal emotional
reactions but also previously acquired and unlearned escape responses.
It is possible that, under conditions where subjects are free to respond

motorically while undergoing classical conditioning, instrumental re-

sponses are also being learned and operantly reinforced. Some evidence
suggesting that skeletal mediators alone cannot account for transfer is
provided by Solomon & Turner ( 1962 ) They observed such transfer ef-
.

fects even when animals were classically conditioned under curare, which
prevents skeletal responding. However, curare procedures do not conclu-
sively rule outmotor mediators because, under lower levels of curariza-
tion,electromyographic responses can be increased through contingent
reinforcement and later can facilitate the occurrence of avoidance re-
sponses in the normal state (Black, 1967). In addition, as Rescorla &
426 DESENSITIZATION THROUGH COUNTERCONDITIONING

Solomon (1967) have noted, even in completely curarized subjects ef-

which regulate responding centrally, may be elicited
ferent neural events,
and modified during classical conditioning.
Most currently popular theories of psychopathology assume that the
effects of aversive conditioning control avoidance behavior through au-
tonomic mediators. According to this interpretation, negatively valenced
cues elicit autonomic arousal (usually designated as anxiety) that pro-
duces afferent feedback having both stimulus and drive properties. Avoid-
ance behavior eventually becomes conditioned to this autonomically pro-
duced stimulation, so that it both instigates and directs the performance
of defensive response patterns.
Such an anxiety theory receives little empirical support if anxiety is
equated with peripheral autonomic reactivity, as is generally the case.
Studies in which autonomic and avoidance responses are measured con-
currently reveal that these two sets of response events may be partially
correlated but not causally related. Black (1959) found that avoidance
responses during extinction persisted long after autonomic responses had
been extinguished. Notterman, Schoenfeld, & Bersh (1952) likewise dem-
onstrated that after subjects were provided with an effective means of
coping with a potentially threatening situation, they continued to perform
appropriate avoidance behavior although their autonomic responsiveness
was completely extinguished. This finding is further corroborated by
Grings & Lockhart (1966), who report that subjects exhibit a sudden
drop in autonomic arousal after learning that they can successfully avert
painful stimulation by performing an appropriate avoidance response.
The generality of the preceding results is limited, however, by the fact
that only a single autonomic response was measured. In view of evidence
(Lacey, 1950) that individuals display considerable variation in their
characteristic modes of physiological reactivity to stress, and that differ-
ent responses are not highly intercorrelated, no single measure of au-
tonomic reactivity can be considered an adequate index of autonomic
arousal.
Laboratory investigations of the acquisition and maintenance of avoid-
ance responses in sympathectomized animals (Wynne & Solomon, 1955)
provide a more critical test of the hypothesis that autonomic responses
serve a mediating function in avoidance behavior. In the latter experi-
ment, autonomic function was eliminated in a group of dogs by surgical
section of the sympathetic segment of the autonomic nervous system, by
vagus-drug parasympathetic blocking procedures, or by combined surgi-

cal and pharmacological treatments. The animals were then trained to

avoid an intense shock by jumping over a barrier at a light signal. Fol-
lowing avoidance learning, the shock was discontinued to test for extinc-
tion of jumping responses to the light alone. Unoperated animals, which
Desensitization through Counter conditioning 427

served as the comparison control group, participated in the same experi-

mental situation. In addition, two dogs underwent the surgical-drug pro-
cedures and the test for extinction after the avoidance response had been
well established.
The results disclose that removal of peripheral autonomic responses
has only a partial effect on the acquisition of avoidance behavior, with
the differences occurring mainly in the initial phase of learning. Sympa-
thectomized animals were more delayed than the controls in escaping
shock, required significantly more trials to learn their first avoidance re-
sponse, and tended to extinguish more rapidly, although differences were
However, speed of extinction in animals deprived of
slight in this respect.
normal autonomic functioning after avoidance responses had been firmly
established did not differ from that of the normal controls. Moreover, no
consistent relationship was obtained between the avoidance learning pat-
tern and the portion of the autonomic nervous system that was blocked
or resected.
All the sympathectomized animals eventually acquired stable avoid-
ance responses. This suggests that autonomic arousal may play a facilita-

but is not required for the establishment of avoidance behavior;

tive role,
maintenance of previously learned avoidance responses is apparently even
less dependent upon autonomic feedback stimulation. The overall evi-

dence thus indicates that mechanisms other than autonomic arousal gov-
ern avoidance responding. Indeed, the latencies of autonomic reactions
and their associated feedback are much longer than those of skeletal re-
sponses; consequently, avoidance behavior is typically executed before
autonomic reactions could possibly be elicited. This factor alone pre-
cludes autonomic control of avoidance behavior.
In a comprehensive review of the pertinent literature, Rescorla & Solo-
mon (1967) propose the tenable view, principally on the basis of exclusion
rather than direct corroborative evidence, that instrumental responsive-
ness is mainly regulated by central mediators which can be established
and eliminated through classical conditioning operations. Since central
processes exert control over both autonomic and instrumental responding,
these two response systems are, in general, partially correlated. Major
obstacles to clarification of the role of central mediators in avoidance be-
havior are created by the failure to specify the locus and nature of the
mediating systems and the most valid indices of their activities. The
problem is further complicated by suggestive evidence ( Lacey, 1967 ) that
—
the different arousal systems electroencephalographic, autonomic, and
—
behavioral are functionally separable. Although they generally appear
concomitantly, physiological and behavioral arousal can be markedly dis-
sociated pharmacologically. Thus organisms may be centrally aroused but
behaviorally unresponsive, or conversely, they may be behaviorally ex-
 .

428 DESENSIT1ZATION THROUGH COUNTERCONDITIONING

cited in the absence of central activation as measured by standard elec-

trocortical signs. These findings indicate that,under certain conditions,
external stimuli may control avoidance responses independently of phys-
iological arousal. Nevertheless, it is clear from studies in which stimuli
are endowed with physiological arousal properties under curare that the
stimuli are not directly conditioned to avoidance responses since these
never occur. Rather, in the early stages the responses appear to be con-
trolledby mediating events that are common to other stimuli to which
avoidance responses have been previously learned. After avoidance re-
sponses habitually occur with reinforcing consequences in the presence of
cues, such conditioned aversive stimuli eventually acquire discriminative
value and can exert control over avoidance behavior without emotional
arousal. This type of shift in the locus of stimulus control accords with
common observation that mediating functions diminish as response pat-
terns become routine.
Whatever the specific regulatory mechanisms might be, the fact that
overt behavior is modifiable bv classical conditioning procedures has im-
portant treatment implications. Of particular relevance are studies dem-
onstrating that neutralization of an aversive stimulus alone markedly fa-
cilitates subsequent extinction of avoidance behavior. In an experiment

conducted by Black (1958), after animals learned to make shock avoidance

responses to a tone, they were skeletallv immobilized by curare to prevent
confounding results from any performance extinction during the treat-
ment period. Animals in the control group received 50 performance ex-
tinction trials and were then given curare without special treatment. The
experimental group simply experienced 50 presentations of the fear-pro-
voking tone while in a curarized state. In a subsequent test, subjects who
had received the classical extinction treatment required approximately
40 regular extinction trials to completely eliminate their avoidance be-
havior, whereas the group that was given performance extinction needed
an additional 450 trials before they discontinued making avoidance re-
sponses.
In the foregoing study, classical extinction was achieved by repeated
exposure to anxietv-arousing stimuli without any adverse experiences.
The extinction process can be hastened by presenting threatening stimu-
lus events along with positive stimuli that elicit incompatible responses
strong enough to supersede anxiety reactions. For example, Gale, Sturm-
fels,& Gale (1966) found that conditioned emotionality was eliminated
more rapidly by repeated paired presentations of aversive stimuli with
food than when the same aversive stimuli were presented alone.
The facilitative effects of eliciting antagonistic responses on extinction
of emotional behavior are even more clearly illustrated by Poppen ( 1968 )
As part of a larger experiment, he compared the speed with which be-
Desensitization through Counterconditioning 429

30 Graduated extinction •
Graduated counterconditioning ».

25

20

10

400 670 1000 1500 2280 3500

Tone Frequency (Hz)

Figure 7-1. Mean number of nonreinforced trials required to eliminate response

suppression at each of the stimulus values of the aversive hierarchy through
extinction and counterconditioning procedures. Poppen, 1968.

havioral inhibitions were eliminated in animals when graduated aversive

stimuliwere presented either alone or in conjunction with food rewards.
Figure 7-1 shows the mean number of exposures required to extinguish
fear at each of the stimulus values of the aversive hierarchy for subjects
receiving graduated extinction and graduated counterconditioning. Emo-
tional responsiveness in both groups was eliminated at an equally rapid
rate toward stimuli of low and of moderate threat value. When con-
fronted with severe threats, however, subjects administered the counter-
conditioning treatment required substantially fewer exposures to over-
come their fearfulness.
In the behavior therapy literature operations in which aversive stimuli
are presented alone are typically designated "extinction," whereas multi-
ple procedures combining fear-arousing and positive stimuli are labeled
"counterconditioning." These methods are often discussed as though they
involved fundamentally different processes. Actually, counterconditioning
is a major factor in extinction. That is, during nonreinforced repetitions
of a stimulus, temporary inhibitory states and inevitable changes in the
stimulus complex eventually competing responses of sufficient
elicit

strength to replace original reactions. According to this interpretation of

the process, conventional extinction procedures often involve a form of
430 DESENSITIZATION THROUGH COUNTERCONDITIONING

unguided counterconditioning. A
major advantage of methods that include
counter-response elicitation is and strength of compet-
that the occurrence
ing activities are managed rather than left to fortuitous factors; this per-
mits greater control over desired outcomes.

CONCEPTUALIZATION" OF THE COUXTERCOXDITIOXLXG PROCESS

Although applications of the principle of counterconditioning were

reported by Jones as early as 1924, the approach received little attention
until Wolpe ( 1958) devised an ingenious procedure that greatly increased
the range of disorders subject to treatment by this method. Based on care-
ful analysis of the stimulus determinants of emotional responsiveness, the
therapist constructs a ranked list of situations to which the client reacts
with increasing degrees of anxiety or avoidance. When countercondition-
ing is based on relaxation procedures, the therapist induces in the client
a state of deep relaxation, which presumably counteracts anxiety, and
asks the client to visualize the weakest item in the hierarchy of emotion-
arousing stimuli. the client experiences any emotional disturbance the
If

aversive scene promptly withdrawn, relaxation is reinstated and then

is

the item is repeatedly presented until it ceases to evoke anxiety; if the

relaxation remains unimpaired in the imagined presence of the threat, the
client's emotional responses to the next item in the hierarchy are extin-

guished and so on throughout the graduated series. In this maimer the

intensity of aversive stimuli is increased from session to session until the
most threatening events have been completely neutralized. Further de-
tails of this particular method and its variant forms have been published

by Wolpe (1961), Wolpe & Lazarus 1966). and Lazarus (1964).

(

Wolpe considers three sets of variables essential for achieving consist-

ent counterconditioning outcomes. First, it is necessary to select an anx-
iety-neutralizing stimulus capable of inducing a competing condition of
sufficient strength to overcome the reactions ordinarily evoked by the
emotion-arousing cues. Second, the aversive events are presented initially
in attenuated forms so that emotional responses to be counteracted are
relatively weak and hence can be readily extinguished. The arousal
potential of more aversive situations supposedly is progressively reduced
by generalization of anxiety extinction from preceding weaker items.
Through successive advances of extinction and generalization, stimuli of
increasing aversiveness can be gradually neutralized without evoking
anxiety of an intensity difficult to countercondition. The third variable
pertains to necessary temporal prerequisites, that is, both the anxiety-
reducing and the aversive stimuli must be contiguously associated.
As will be shown later, Wolpe's desensitization method has generally
Desensitization through Counter conditioning 431

proved successful in modifying emotional behavior, but the theoretical

speculations about the manner in which anxiety is acquired and the
mechanisms governing the counterconditioning process (Wolpe, 1958)
are largely disputed by empirical findings. In accord with Hullian formu-
lations, Wolpe favors a drive-reduction theory of classical conditioning,
and a fatigue theory of extinction. In contrast to this view, experimental
results (Mowrer, 1960; Solomon & Brush, 1956) clearly support a con-
tiguity theory of conditioning, in that emotional responsiveness is best
acquired and strengthened through association of a stimulus with shock
onset rather than shock reduction. Although fatigue resulting from non-
reinforced evocation of effortful behavior may foster the appearance of
inhibitory responses in performance extinction, it is doubtful that suffi-

cient fatigue, if any, can be generated by symbolic and autonomic re-

sponses to account for anxiety decrements achieved through distributed
trials in symbolic desensitization treatments. A more plausible interpre-
tation of extinction under the latter conditions is that emotional responses
are gradually eliminated by deliberate elicitation of incompatible re-
sponses and by superimposing aversive stimuli onto positive events that
mitigate self-generated arousal.
In accord with most traditional theories of psychopathology, Wolpe
(1958) adopts the position that anxiety is a major causal determinant of
inappropriate avoidance behavior. Anxiety is defined principally in terms
of over-reactivity of the sympathetic division of the automatic nervous
system. Counterconditioning effects are explained by Wolpe in terms of
reciprocally inhibitory processes occurring at the level of the autonomic
nervous system. This conceptual scheme is mainly based on the assump-

tion that sympathetic and parasympathetic responsiveness are generally

physiologically antagonistic. It is further assumed that muscular relaxa-
tion, sexual behavior, assertive responses, and other pleasurable stimula-
tion elicit parasympathetic responsiveness which, if sufficiently strong,
inhibits the predominantly sympathetic responses of anxiety.
It is important to bear in mind that the psychological principle of

counterconditioning and the efficacy of procedures based on this principle

are independent of the validity of Wolpe's neurophysiological specula-
tions. Indeed, contrary to Wolpe's peripheral theory of anxiety, research
findings cited earlier clearly indicate that autonomic and avoidance re-

sponses are coeffects rather than causally linked events. To the extent that
extinction is governed by mutually inhibitory mechanisms, they are more
likely to operate subcortically rather than in the autonomic system. It is
interesting to note in this connection that some evidence exists (John,
1961) for two reciprocally inhibitory arousal systems in the reticular for-
mation which mediate defensive and approach behavior.
432 DESENSITIZATION THROUGH COUNTERCONDITIONING

Controlling Variables in Desensitization

A number of laboratory experiments have been conducted to deter-

mine whether the component variables in desensitization procedures are
necessary, facilitative, or irrelevant to extinction outcomes associated
with method. Unfortunately, results of many of these studies are un-
this
interpretable because their sample sizes are much too small to prove
anything, outcome measures are inadequate, treatment conditions are
applied for exceedingly brief periods, and other methodological deficien-
cies exist that are typically excused on the grounds that the experiments
are merely exploratory. Although such studies are usually acknowledged
by the authors to be technically insufficient, the resultant findings are
rarely dismissed as having little evidential value. The findings of some
experiments that are otherwise well designed may be misleading because
the behavioral test used requires, at the most, brief contact with the
feared object (e.g., touching or holding a snake). Treatment conditions
that appear equally efficacious on the basis of a weak criterion test might
yield differential outcomes if more threatening and demanding perform-
ance tasks were utilized.
The research discussed in subsequent sections is mainly confined to
experiments that are sufficiently well designed to permit meaningful in-
terpretation of the data. Many of these studies employ the snake phobia
paradigm originally devised by Lazovik & Lang (1960). This type of
phobic disorder is especially well suited for clarifying the role of variables
considered to be influential contributors to the counterconditioning proc-
ess. The reason for this is that the incidence of snake phobias is relatively
high, the strength of avoidance behavior can be objectively measured,
and extra-experimental encounters with snakes that might confound treat-

ment effects rarely occur or can be easily controlled.

ROLE OF ANXIETY-COMPETING RESPONSES

AND EXTRANEOUS PROCESSES
If, in fact, desensitization methods involve a counterconditioning
process, then contiguous association of threatening stimuli with anxiety-
inhibiting responses would constitute a necessary condition for rapid
elimination of avoidance behavior. In a relatively complex treatment
containing numerous elements it is possible that any number of variables,
operating either singly or in combination, may be responsible for observed
outcomes. Thus, for example, avoidance behavior may be reduced to some
degree by relaxation training alone, by gradual exposure to progressively
more threatening situations, or by expectations that participation in a
treatment program will result in favorable changes. Another possible
Controlling Variables in De sensitization 433

source of influence is the social relationship that develops between change

agents and their clients. In order to test whether desensitization methods
achieve their effects through counterconditioning or extraneous processes,
Davison ( 1968 ) conducted an experiment that proceeded in the following
manner.
Snake-phobic students were individually matched on the basis of the
strength of their avoidance behavior toward a snake and assigned to one
of four conditions. For students who received the treatment that fulfilled
counterconditioning requirements, imaginal representations of progres-
sivelymore threatening interactions with snakes were contiguously paired
with muscular relaxation, as in the standard practice. A second group
participated in a pseudo-counterconditioning treatment that was identical
to the procedure employed in the first condition except that the symbolic
contents paired with relaxation were childhood experiences entirely unre-
lated to snakes. Because of the widespread belief that anxiety disorders
represent derivative manifestations of reactivated infantile conflicts, it

was possible to use snake-irrelevant items without jeopardizing the veri-

similitude of the treatment approach. This group provided a control for
the effects of extraneous variables associated with relationship experi-
ences, expectations of beneficial changes, relaxation training, or other
possibly unrecognized factors. The third group was administered the
same graded fear-provoking scenes involving snakes but in the ab-
set of
sence of relaxation. This exposure condition primarily served as a control
for the influence of repeated exposure to threatening stimuli. Finally, a
small control group of students participated in the assessment procedures
without receiving any form of intervening treatment.
In order to equate the groups for durations and specific patterns of
experiences, students in the pseudo-counterconditioning and the exposure
groups were yoked to their matched partners in the counterconditioning
treatment,whose progress determined the total number of treatment ses-
sions, the length of each session, and the number and duration of each
stimulus exposure. After the treatments were completed students were
readministered the behavioral test involving 13 progressively more inti-
mate interactions with a snake. Only the subjects for whom fear-arousing
events were paired with relaxation displayed substantial increases in
snake-approach behavior, whereas students in the pseudo-countercondi-
tioning, exposure,and control groups failed to achieve any significant
reductions in avoidance responses.
The question of whether extinction of avoidance behavior through
desensitization is attributable to relationship influences or other unsus-
pected variables has also been investigated by Lang and his associates.
In the initial project ( Lang & Lazovik, 1963; Lang, Lazovik, & Reynolds,
1965), which involved snake-phobic adults, one group received the stand-
434 DESENSITIZATION THROUGH COUNTERCONDITIONING

ard form of desensitization treatment; a second group participated in a

form of relationship therapy in which, after receiving a plausible explana-
tion for their placebo treatment, they discussed experiences unrelated to
their phobia in the context of deep relaxation. A no-treatment control
group was also included.
Control subjects and those who received the pseudotherapy showed
no significant changes either in their snake-avoidance behavior or on any
of the self-report indices of anxiety. By contrast, students who received
the counterconditioning treatment exhibited greater snake approach be-
havior relative to the combined results of the latter two groups, and they
experienced less anxiety about snakes. However, results of this study must
be accepted with reservations for several reasons. During the measure-
ment of phobic behavior the tester modeled each approach response be-
fore requesting the subject to perform the same task. Although the amount
of modeling may not be sufficient to reduce inhibitory responses in con-
trol subjects, it may facilitate approach behavior in subjects whose avoid-
ance tendencies had been weakened to some extent through prior coun-
terconditioning. Results of other studies (Wolpin & Raines, 1966) are
similarly confounded bv extensive modeling of intimate interactions with
feared objects during the administration of avoidance tests. It also ap-
pears from the magnitude of change scores that some of the group differ-
ences at a borderline level of significance would most likely prove non-
significant had desensitization been compared to pseudotherapy alone
rather than combined with the nontreated control group. There is no
question, however, that students who had been successfully desensitized
to most of the items in the anxiety hierarchy achieved substantially
greater reductions in avoidance behavior than subjects in either the re-
lationship or control conditions.
Lang (1968) has devised a self-directed desensitization procedure
that makes it possible to manage counterconditioning variables more
reliably and permits greater experimental control over extraneous proc-
esses. Graduated sequences of threatening situations and relaxation in-
structions are prerecorded on magnetic tapes that are controlled by the
person undergoing the treatment. After relaxation instructions have been
played an anxiety-arousing item is automatically presented. Whenever
subjects signal distress they are instructed to stop visualizing the scene,
relaxationis reinduced, and then the item is repeated. If subjects signify

an increase in anxiety during reexposure to the same aversive scene they

are returned to the preceding item in the hierarchy. As long as subjects
signal decreasing arousal to successive exposures to a given scene, it is

repeatedly presented until ceases to elicit emotional responses. In this

it

way, subjects manage their own desensitization treatment throughout the

graduated series.
Controlling Variables in De sensitization 435

The above procedure was primarily designed for research purposes,

but a case report by Migler & Wolpe (1967) suggests that it may have
clinical applications as well. A male client who was unable to participate
in staff meetings because of severe public speaking anxieties successfully
desensitized himself at home through the use of a modified tape recorder
that contained prerecorded relaxation instructions and scenes of increas-
ingly threatening public speaking situations. These preliminary clinical
data are corroborated by results from comparative studies by Melamed &
Lang (1967), Donner (1967), and Krapfl (1967), who found that self-
administered desensitization produced the same amount of reduction in
avoidance behavior as the standard, socially administered form. Lang has
also successfully employed the semiautomated procedure to investigate
changes in autonomic indicants of emotional arousal through the course
of the desensitization process.
Results of a study designed by Moore (1965) to assess some of the
factors operative in the desensitization method are of interest because
they essentially replicate the findings cited above with a radically differ-
ent type of emotional dysfunction. Asthmatics who had proved unrespon-
sive to medical treatment were given either relaxation alone, relaxation
combined with suggestions that they would show both progressive im-
provement in respiratory function and reduced sensitivity to situations
that evoke asthmatic attacks, or they received the counterconditioning
treatment. In the latter procedure deep relaxation was paired with graded
1

situations based on respiratory difficulties, infective and allergic factors,

and stress-provoking events. Each patient was administered two of the
treatments over a period of two months according to an experimental
design that presented the methods in every combination and in every
order. The effects of these various procedures were assessed in terms of
subjective reports of asthmatic attacks and two objective measures of
respiratory function. These included the Maximum Peak Flow and the
percentage this performance represented of optimal flow after an inhaled
dose of isoprenalin.
The changes accompanying the different treatment conditions are
summarized graphically in Figure 7-2. All three treatments produced re-
ductions in attacks of wheezing according to clients' self-reports, but only
the counterconditioning method significantly improved respiratory func-
tion based on physical measurements.
Although the findings reported by Davison 1968 ) and Rachman
(

(1965) would seem to indicate that relaxation plays a highly influential

role in symbolic desensitization, this conclusion requires qualification in
the light of results of a study conducted by Schubot ( 1966 ) . It will be
recalled that in Davison's experiment, subjects in the exposure condition
were often required to continue visualizing disturbing scenes after they
436 DESENSITIZATION THROUGH COUNTERCONDITIONING

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ures of respiratory function associated with each of three treatment conditions.
Moore, 1965.
Controlling Variables in Desensitization 437

had signaled anxiety, in order to equalize exposure durations in the dif-

ferent treatments. Miller (1967) has shown that the desensitization pro-
cedure achieves equally beneficial results regardless of whether the sub-
ject or the experimenter controls the termination of aversive stimuli. It
is conceivable, however, that if subjects who were administered only the
aversive stimuli had been allowed to terminate threatening scenes before
they generated excessive anxiety, which was the procedure followed for
the counterconditioning group, repeated exposure alone eventually might
have produced some extinction of avoidance behavior. To test this notion,
Schubot (1966) compared the elimination of phobic behavior in groups
of adults who were administered either exposure to anxiety-provoking
scenes paired with relaxation or exposure alone under conditions where
aversive stimuli were promptly terminated for all subjects whenever they
signified distress.
Interpretation of results of this otherwise well-designed experiment is

somewhat complicated by lack of a yoked exposure condition in which

visualization durations are externally controlled independently of sub-
jects'emotional responses. Nevertheless, the available data (Figure 7-3)
demonstrate that relaxation was essential for modifying extreme phobic
behavior, but it did not facilitate extinction of avoidance responses of
moderate strength.
It is of considerable interest to find that covert extinction operations,

Pre -Test Post -Test

Figure 7-3. Differential responsiveness of moderate and severe phobic subjects

to counterconditioning and extinction procedures. Schubot, 1966.
438 DESENSITIZATION THROUGH COUNTERCONDITIONING

in which conditioned emotionality is eliminated by repeated symbolic re-

instatement of threatening events below the stress threshold level, signifi-
cantly reduce avoidance behavior. If people could extinguish inappropri-
ate emotional reactions by thought one would expect such disorders
alone,
to be much less prevalent. To be
under naturalistic conditions peo-
sure,
ple rarely construct hierarchies of emotionally disturbing situations and
systematically engage in covert extinction trials. Moreover, on the occa-
sions when they do think about threatening events they are apt to revivify
the aversive consequences that accompanied their behavior, thereby re-
inforcing rather than weakening their fears. Because of the relevance of
covert extinction for the general issue of symbolic control of overt behav-
ior, it would be of importance to determine whether this phenomenon is

easily reproducible and its limiting conditions.

Several investigators have found that the components of desensitiza-
tion separately achieve reductions in avoidance behavior, but they do
not gain additional efficacy combination with each other. In some of
in

these experiments, however, the behavioral test is exceedingly brief,

experimenters lack experience in the use of the method (Cooke, 1968),
or subjects receive limited training in relaxation (Proctor, 1968). Other
studies, such as theone reported by Folkins, Lawson, Opton, & Lazarus
(1968), sufferfrom methodological deficiencies and a tendency to read
more into the data than they actually Meld. Folkins and his associates
measured self-reports and physiological responses of students to a film
depicting industrial accidents after they had received one of four types
of treatments. For subjects in the simulated desensitization condition,
brief scenes from the film were 1
presented verbally in the context of
muscular relaxation and pleasant imagery during three sessions. Unlike
the standard procedure, however, the stressful stimuli were presented
by tape recording without regard to the students' emotional reactions.
The second condition included both the positive imagery and exposure
to the aversive scenes. A third group received only relaxation training,
while students in the fourth condition served as nontreated controls.
A treatment effect was obtained on one of three self-report indicators
and on the skin conductance measure. No significant
of stress reactions,
differenceswere found, however, in heart rate responses. The authors
conclude, on the basis of visual inspection of the data rather than statis-
tical evaluation of inter-group differences, that complete desensitization
is a less effective stress reducer than either of its components, relaxation
or cognitive rehearsal, and that of the two elements, cognitive rehearsal
is the more powerful. Thev further suggest that insight-oriented ap-
proaches may be superior to desensitization techniques. These conclu-
sions are supported by neither the data nor the treatment operations. All
treatments probably reduced emotional responding compared to the con-
Controlling Variables in Desensitization 439

trol group, but it appears from the summary data that the treatments do
not differ significantly among themselves.With regard to the procedures,
since the "cognitive rehearsal" involved both stimulus exposure and posi-
tive imagery that has counterconditioning potential, this method actually
represents a variant form of desensitization. It might also be noted in
passing that if visualization of aversive stimuli is conceptualized as an
insight operation, then the term has little meaning.
The various findings, taken as a whole, indicate that relaxation is a
than a necessary condition for elimination of avoidance
facilitative rather
behavior. Evidence that relaxation often hastens the extinction process
does not verify that the benefits derive from the explicit manipulation of
muscular activities. Indeed, Rachman (1968) has argued that feelings
of calmness induced by the procedure rather than muscular relaxation
per se is the decisive factor at work. In this alternative explanation, re-
laxation instructions and presentation of pleasant scenes to the imagina-
tion reduce affective arousal which attenuates responsiveness to aversive
stimuli. This interpretation is consistent with the view advanced in this
book that behavioral changes are largely governed by central mechanisms
rather than by peripheral processes.
If the competing activities that function to reduce the arousal capacity
of threatening stimuli are, in fact, symbolically mediated, then certain
changes in the standard desensitization practice may be advantageous.
As Rachman suggests, greater emphasis would be placed on the develop-
ment of tranquil and pleasant imagery than on motor relaxation exercises.
This issue can be best resolved by laboratory studies of the anxiety-
mitigating effects of positive imagery and muscular relaxation when used
alone and in combination with each other.

GRADUATED STIMULUS PRESENTATION

Research discussed thus far discloses that deconditioning effects occur
even when social and expectancy influences are controlled, and that re-
laxation functions as a facilitative rather than as a necessary condition
for change. The question of whether graduated presentation of aversive
stimuli is a fundamental requirement of desensitization has not been
systematicallv investigated. If the process of anxiety elimination through
performance extinction and symbolic desensitization involves analogous
processes, then reductions in avoidance behavior can be achieved, both
by reexposure to progressively more threatening events and by repeated
confrontation with the most feared situation at the outset. However,
thesetwo treatment strategies would be associated with markedly dif-
ferentamounts of anxiety elicitation. The more stressful confrontation
method is apt to generate high levels of emotional arousal that are
gradually reduced with successive nonreinforced occurrence of fear-
440 DESENSITIZATION THROUGH COUNTERCONDITIONING

provoking events. On the other hand, when aversive stimuli are intro-
duced in attenuated form and gradually increased to their full threat
value, extinction effects can be attained with minimal anxiety arousal.
Indeed, by initially presenting an aversive stimulus in a weak form so
that it will not elicit any anxiety, and by increasing its duration and
intensity in small, progressive steps, it should be possible to extin-
guish emotional responsiveness without the occurrence of emotional re-
sponses.
Anxiety-free extinction in aversive situations has received little study.
Experiments with infrahuman subjects (Kimble & Kendall, 1953; Poppen,
1968) have shown that exposure to stimuli graduated in aversiveness
produces more rapid extinction of emotional behavior than when they
are repeatedly presented at their full value. Terrace (1966) has provided
considerable evidence that discriminative behavior can be established
1

with virtually no responses to negative stimuli, through the use of pro-

gressive stimulus change procedures. Thus to alter the responses made to
-
a negative stimulus (S ) it is gradually introduced into a positive
stimulus complex (S f
) that evokes a desirable form of behavior. The
elements in the latter stimulus are progressively reduced until eventually
S~ alone produces the responses that were originally controlled by S + .

Evidence that stimulus control can be transferred by this method with-

out negative responses brings into question the widely shared belief that
the occurrence of anxiety response's is a necessary condition for their
elimination. however, that the stimuli that are being neu-
It is essential,

tralized should have anxietv-arousing potency in their original form.

One would expect little therapeutic gain from programs that fostered
nonemotional reactions to stimuli that ordinarily do not exercise control
over emotional responses. In other words, the requirements pertain to
the motivational properties of stimuli rather than to the elicitation of
emotional responses.
In the counterconditioning paradigm the introduction of anxiety-
competing responses presumably enables people to tolerate higher levels
of threat without responding anxiously. Some suggestive evidence that
this does, in fact, occur is furnished bv Davison's study (1968), in which

subjects in different treatment conditions were individually yoked, and

hence received the same number, order, content, and duration of stimulus
exposures. Students who were administered threatening scenes in the con-
text of deep relaxation signaled distress on 27 percent of the stimulus
presentations, whereas those who received the same items without relaxa-
tion registered anxiety on 61 percent of the trials. Schubot (1966) reports
similar differences in anxietv elicitation, under conditions where subjects
themselves controlled the termination of aversive scenes, between sub-
Controlling Variables in De sensitization 441

groups that displayed extreme avoidance behavior. The rate of anxiety-

signaling by markedly avoidant subjects who received exposure only was
three times as high as that shown by their equally fearful counterparts
for whom exposure was paired with relaxation. Moreover, the emotional
reactions of the latter group were neutralized more rapidly to individual
scenes and they completed significantly more items in the hierarchy dur-
ing the same period of time. Interestingly, the anxiety-signaling rates did
not differ between the moderately fearful subgroups who achieved com-
parable gains in approach behavior. Consistent with the view expressed
earlier regarding anxietv responding during extinction, Schubot found
that frequency of anxiety elicitation was inversely related to degree of
extinction of avoidance behavior.
Assuming that subjects' imaginal self-stimulation corresponds closely
to scenes presented by the experimenter, the above findings indicate that
an approach that combines graduated stimulus presentation with deliber-
ate elicitation of anxiety-neutralizing responses is best suited for reducing
avoidance behavior with minimal stress. In evaluating differential treat-
ment approaches one must consider not only the rate at which they
modify avoidant behavior, but emotional costs to the client.
also the
The latter criterion is particularly important if a given method achieves
relatively quick results but drives away many of the participants because
it engenders excessive distress.
Findings of an experiment by Krapfl ( 1967 ) are relevant to several of
the issues discussed above. Snake-phobic subjects received socially ad-
ministered desensitization or several forms of desensitization conducted
via tape recordings. In the semiautomated treatments the aversive stimuli
were presented either in order of increasing aversiveness as in the stand-
ard procedure, in a descending arrangement from most to least anxiety-
arousing, or in a random order. Two control groups, one that received no
treatment and another that was presented pleasant but snake-irrelevant
stimuli, were also included. Behavioral avoidance tests were administered
after five sessions of treatment and again six weeks later.

Subjects in all treatment conditions achieved enduring increases in

approach behavior and differed in this respect from the two control
groups (Figure 7-4). No significant differences were found among the
experimental conditions, except that the randomized procedure consist-
ently produced weaker effects than did procedures employing the ascend-
ing aversive order. Although desensitization that proceeded from most to
least aversive items proved efficacious on behavioral indices, it elicited
initially a high level of emotional responding and negative reactions to
the procedure. In clinical applications this method, therefore, runs a
higher risk that clients might terminate their participation.
 ^•

442 DESENSITIZATION THROUGH COUNTERCONDITIONING

16

15

14

13

10

Social desensitization • •

Taped desensitization • •

Taped, descending order •— —

Taped, random order •— —
Pseudo desensitization O o

Non- treated control o o

Pre -Test Post -Test Follow Up

Figure Mean number of approach responses performed by subjects in each

7-4.
of four treatment conditions and in two control conditions. Plotted from data of
Krapfl, 1967.

TEMPORAL FACTORS IN DESENSITIZATION

If stimulus events are to lose their arousal capacity through a process

of counterconditioning, then emotion-provoking and emotion-countering
stimuli must be contiguously associated. Melvin & Brown (1964) found
that repeated paired presentations of a positive reinforcer with a physi-
cally noxious stimulus reduced its aversive power, but temporally dis-
sociated presentations of these same events did not alter its negative
valence. Moreover, reduction in aversiveness varied directly with the
number of paired associations. It is evident, however, that the temporal
relationship between stimulus events in the standard desensitization pro-
Controlling Variables in De sensitization 443

cedure, while meeting the association requirement, differs markedly from

that considered optimal for classical conditioning. In the
generally
latter case, conditioned responses are most readily produced when the
CS precedes the UCS by a very brief interval. By contrast, in the desensi-
tization procedure, relaxation,which is supposed to serve the same func-
tion as UCS-induced maintained continuously, whereas the con-
states, is
ditioned aversive stimuli are presented briefly at irregular intervals.
If one equates classical conditioning with a limited set of operations
in which stimulus events are presented episodically and in very close
temporal conjunction, then obviously Wolpe's procedure does not fulfill
these specific requirements, nor, incidentally, does a large body of litera-
ture demonstrating classical aversive conditioning. For example, experi-
ments in which animals are shocked in compartments painted a certain
color, the CS (i.e., the color cue) is continuously present and the painful
stimulation is experienced intermittently. Similarly, conditioned emo-
tionality can be extinguished when aversive cues and positive stimuli
that elicit antagonistic responses are both continuously present (Farber,
1948).
In order to establish conditioned responses it is essential that the
effects induced by a UCS occur in conjunction with the CS. Under cir-
cumstances where the events to be conditioned to the CS are controlled
almost exclusively by the UCS then a close temporal relationship between
these two sets of stimuli is required. However, in human learning, emo-
tional responses are generally elicited not only by an external UCS but
also bv symbolic representations of aversive or pleasurable experiences.
The influential role of self-generated arousal in classical conditioning is

indicated by studies showing that conditioned responses can be de-

veloped by having subjects merely associate a CS with imagined stimu-
lation in the absence of the appropriate UCS; conversely, conditioned
responses generally fail to develop, even though the CS and UCS are
presented repeatedly under optimal temporal contiguity, if subjects do
not recognize that the two stimuli are related. Research bearing on these
issues and alternative interpretations of empirical findings are discussed
more fully in the concluding chapter. To the extent that self-generated
stimulation substitutes for, or supplements, external inputs, conditioning
can occur under a variety of external temporal arrangements. The ques-
tion ofwhether desensitization outcomes are achieved through condition-
ing in the traditional sense should perhaps be held in abeyance until the
psychological processes underlying classical conditioning have been more
adequately explicated.
In addition to the temporal issue, questions also arise about the nature
of the conditioned response. It is apparent from laboratory studies of
classical conditioning that the conditioned response is rarely, if ever,
444 DESENSITIZATION THROUGH COUNTERCONDITIONING

evoked by the unconditioned stimulus.

identical to the behavior originally
For example, a painful shock delivered to a person's forearm following
a tone will typically elicit autonomic reactions, arm retraction, and
vocalization of pain. After a series of trials, presentation of the tone alone
will most autonomic and central arousal without the motor
likely elicit
and vocal elements. Indeed, if the organism were so constructed that a
conditioned stimulus had the capacity to create the tissue damage ac-
companying physically injurious events, then learning would have self-
destructive rather than survival value. A conditioned stimulus not only
evokes merely a component part of the original reaction, but it often
activates anticipatory responses that bear little resemblance to the un-
conditioned response. It would, therefore, seem more plausible to view
conditioning outcomes as reflecting the operation of mediating mech-
anisms rather than the direct coupling of stimuli with responses evoked
by other events. Since responses to an aversive stimulus contain a self-
generated component one would not expect them to be identical to those
produced by the external stimulus.
Similarly, after an aversive stimulus has been repeatedly paired with
relaxation, it is exceedingly unlikely that formerly threatening cues will
promptly evoke muscular flaccidity. Rather, such cues no longer generate
emotional arousal. The foregoing interpretation of eountereonditioning
differs from explanations based on Guthrie's theory (1935) or Wolpe's
model (1958), both of which assume a recoupling of conditioned re-
sponses to stimuli.

INFLUENCE OF SOCIAL REINFORCEMENT AND COGNITIVE VARIABLES

ON DESENSITIZATIOX
The studies reviewed thus far investigated the influence of traditional
learning variables on desensitization processes. This class of determinants
is primarily concerned with stimulus events, that is. their content, in-
tensity, valence, frequency, mode and temporal relation-
of presentation,
ship. Learning variables often exert differential effects on behavior
depending upon concomitant social and cognitive variables. The relation-
ships obtained between responses and their programmed stimulus con-
sequences, for example, may vary considerably when the same rein-
forcing stimuli are administered by persons who vary in prestige ( Prince,
1962), attractiveness (Marder, 1961), sex (Epstein & Liverant, 1963;
Stevenson, 1965), ethnic status (Smith & Dixon, 1968), and friendship
(Hartup, 1964; Patterson & Anderson, 1964). Similarly, informational
variables may be influential in determining responsiveness to stimulus
presentations. For these reasons, the behavioral changes effected by
desensitization cannot be solely attributed to the effects of stimulus pair-
ings.
Controlling Variables in De sensitization 445

Not only is learning multiply controlled by interacting variables, but

the willingness to perform responses that have been acquired can be
affected by a host of motivation-related influences. Subtle situational de-
mands, self-imposed achievement pressures, expectations that a given
method will result in beneficial changes, and the desire to please con-
scientious therapists are often invoked as unsuspected determinants of
psychotherapeutic changes. Such factors are most likely to exercise some
control over existing behaviors that persons can readily perform should
they wish to. On the other hand, motivational influences alone will not
produce response patterns that are lacking, nor will they meet with much
success in restoring severely inhibited behaviors that have proved in-
tractable to repeated social pressure and persuasion. In the latter case,
requisite learning experiences must be provided.
The prevalent tendency to view multiple determination of behavior
in terms of rival preferences for certain component variables has given
rise to much unproductive argument and research. This is particularly
true of investigations that are explicitly designed to negate learning
influences. In an effort to demonstrate that expectations alone regarding
treatment might account for reductions in avoidance behavior in desensi-
tization therapy, Efran & Marcia (1967) administered to snake-fearful
students a pseudotherapv in which they were occasionally shocked while
observing blank slides in a tachistoscope that they were led to believe
contained pictures of the phobic stimuli presented at subliminal levels.
Half of these subjects were assigned to a "low expectancy" condition in
which they were informed that the treatment lacked a crucial element,
whereas subjects in the "high expectancy" condition were told that the
treatment yielded promising results. To further enhance the expectancy
manipulation, subjects were shown fictitious polygraph records indicat-
ing that their phvsiological reactivity to the "subliminal stimuli" had
decreased over the course of treatment. A control group participated in
the assessment procedures without exposure to any of the experimental
procedures. Unlike previous researchers, who have
tested changes in
avoidance behavior toward have some realistic threat
live reptiles that
value, for some unexplained reason Efran & Marcia used lifeless speci-
mens of the phobic objects. Lifeless objects are likely to arouse rela-
tively weak inhibitions that would be especially susceptible to motiva-
tional manipulations.
On the basis of a partial analysis of the data, the authors conclude
that positive expectations can reduce fear responses. This finding is con-
sidered especiallv significant since punishing subjects for reacting fear-
fullv should, if anything, increase their avoidance behavior.
In point of fact, the three groups of subjects did not differ signifi-

cantly in degree of self-reported fear experienced during the test of ap-

446 DESENSITIZATION THROUGH COUNTERCONDITIONING

proach behavior. The authors attribute this negative finding to a lack of

independence between fearfulness and total amount of approach behavior
performed and to the susceptibility of this measure to situational de-
mands. The methodological confounding of the dependent variable could
have been easily avoided by measuring the degree of fear associated with
each specific approach response rather than obtaining a single aggregate
rating after the avoidance test was completed. Considering that expect-
ancy cues, through which situational demands are most frequently con-
veyed (Rosenthal, 1966), were explicitly manipulated in this study, it
seems illogical to discount the absence of differences on a measure be-
cause of its susceptibility to situational influences. Statistical comparisons
were also made on measures of approach behavior and interview ratings
of improvement between various combinations of groups except high and
low expectancy, the conditions of major relevance to the expectancy hy-
pothesis. Complete analysis of their published data reveals that experi-
mental subjects achieved a higher rate of improvement than the controls,
but the high and low expectancy groups did not differ significantly from
each other on either of these measures. In direct contrast to the authors'
conclusion, the results show in fact that the increases in approach behav-
4

ior produced toward the attenuated threats, though in the predicted di-
rection, were essentially comparable regardless of whether subjects ex-
pected the treatment to be effective or ineffective. It should also be noted
that "principles of conditioning" would not lead one to predict that sev-
eral random pairings of shock with a blank card interspersed in a hun-
dred trials should necessarily increase avoidance of snakes or spiders.
Indeed, the opposite outcome is entirely possible considering that sub-

jects were led to believe that unconscious responses to subliminal phobic

stimuli would be followed by painful shocks, whereas the occurrence of
the assumed stimuli did not result in aversive experiences on 84 of the
trials! It remains an open question whether the authors' procedure is

more likely to condition anxiety relief, rather than aversive reactions, to

whatever the subjects were imagining to the blank slides.
Research in which social and cognitive variables are studied as com-
ponents of counterconditioning procedures can provide valuable informa-
tion about the degree to which these different factors, both singly and in
combination with each other, facilitate extinction outcomes. were
If it

found that response to desensitization was partly determined by induced

expectations and other informational inputs, their mechanisms of action
would still remain to be explained. Since induced negative expectations
tend to decrease behavioral participation Kelley, 1950 ) supposedly cog-
( ,

nitive variables might affect conditioning outcomes mainly through pe-

ripheral processes, by reducing attentiveness and by eliciting only half-
hearted adherence to required procedures.
Controlling Variables in Desensitization 441

A study by Valins & Ray (1967), designed to demonstrate that cogni-

tive labeling of one's internal physiological reactions can affect avoidance
behavior, is likewise marred by methodological deficiencies that yield data
easily subject to misinterpretations. According to the authors' reasoning,
to the extent that persons can be led to believe that they are no longer
affected internally by a feared object, they will consider their fear to be
unwarranted and accordingly reduce their avoidance behavior. To test
this notion, paid volunteers who rated themselves as fearful of snakes

were shown pictures of increasingly fearsome snakes as well as slides with

the word "shock" followed by shock stimulation. One group received false
heartbeat feedback suggesting that their heart rates were unaffected by
snake stimuli but adversely affected by shocks. A control group was ex-
posed to the identical tape recording except that subjects were informed
that they were hearing meaningless sounds rather than their internal re-
actions amplified. All subjects were then tested for approach responses
toward a snake.
In order to provide a meaningful test of the cognitive labeling hypoth-
esis it is essential to preselect subjects who, in fact, display emotional
arousal and avoidance behavior toward snakes. It is of little value, for
example, to demonstrate that subjects who do not fear snakes will perform
approach responses after being informed that they are internally unaf-
fected by pictures of snakes. On the other hand, if misinforming fearfully
avoidant subjects that they are no longer internally affected by condi-
tioned aversive stimuli produces significant reductions in avoidance be-
havior, then cognitive labeling processes might serve as contributory influ-
ences in desensitization treatments. Because of the absence of objective
evidence concerning subjects' initial fears of snakes, this study provides
no basis for judging whether cognitive labeling is an irrelevant, weak, or
strong variable. Since 44 percent of the control subjects successfully per-
formed the terminal approach task, it is evident that a sizable proportion
of the sample was completely fearless to begin with. Other investigators
have similarly found that approximately 40 percent of subjects who label
themselves as fearful of snakes turn out to be relatively fearless, much to
their surprise,when administered a behavioral test.
Contrary to the authors' conclusion that "cognitions about internal re-
actions are important modifiers of behavior," the heart-rate feedback and
the control group did not differ significantly in approach behavior. When
subjects who reported that they had previously touched a snake were
excluded from the sample, a difference emerged; but the effect cannot
necessarily be attributed to cognitive labeling, because the independent
variable in the reconstituted groups includes both labeling and self-selec-
tion influences. A number of unknown factors associated with accuracy of
past recall may enter in as plausible determinants. Results of a second
448 DESENSITIZATION THROUGH COUNTERCONDITIONING

experiment also provide limited evidence, because subjects' initial fear-

fulnesswas never objectively assessed, and treatment effects were not
evaluated by the amount of snake approach behavior but by the amount
of money required to induce subjects merely to touch a snake, a relatively
weak behavioral requirement.
Unlike desensitization, which eliminates fear arousal through nonre-
inforced reexposures to subjective threats, the cognitive approach dis-
cussed above attempts to produce behavioral changes by mislabeling
existing emotional responsiveness. Anv fear reduction resulting from de-
ceptive feedback is apt to be short-lived unless the mislabeling occasions
genuine changes in persons' anticipatory arousal reactions. If our assump-
tion is correct that conditioned stimuli generate emotional effects partly
through an intervening self-arousal mechanism, then persons who are led
to believe that they are no longer frightened by threatening events may
subsequently reduce fear-arousing cognitions in response to these situa-
tions and thus diminish emotional responsiveness. A test of the self-
arousal theory would require measurement of physiological and self-eval-
uative responses to conditioned aversive stimuli prior to, and after, cog-
nitive mislabeling of internal states.
It should be remembered that cognitive claims have been mined many
times with disappointing therapeutic yields. In the case of persons who
display relatively weak inhibitions, erroneous explanations for physiolog-
ical arousal to fear-provoking situations may lower their fear to the point
where they can perform desired behavior. It is doubtful, however, that
strong fears and inhibitions can be eliminated through either mislabeling
internal reactions or attributing them to erroneous sources. A severe acro-
phobic, for example, may be temporarily misled into believing that his
fear no longer physiologically justified, but he is likely to encounter
is

unnerving internal feedback when confronted with actual dreaded

heights. There is little reason to expect that auspicious cognitions induced
through deceptive labeling can substitute for corrective learning experi-
ences in the stable modification of human behavior.
Leitenberg, Agras, Barlow, & Oliveau (1969) provide evidence that
therapeutically oriented instructions and social reinforcement may en-
hance the favorable response changes accompanying desensitization treat-
ment. Snake-phobic students who were administered this procedure in the
guise of an experiment on visualization achieved some reduction in avoid-
ance behavior. The behavioral changes, however, were much greater for
subjects who had been told that they were receiving a form of therapy
that is successful in reducing fears and were praised for completion of
items in the hierarchy. These social variables would not account for the
success of self-administered desensitization (Melamed & Lang, 1967;
Controlling Variables in De sensitization 449

Krapfl, 1967) unless, as the authors suggest, self-observed signs of prog-

ress assume a similar reinforcing function.

TRANSFER OF EXTINCTION EFFECTS

In the standard desensitization procedure emotional responses are
extinguished to symbolic representations of fear-provoking situations. The
treatment is not only directed toward attenuated forms of actual threats,
but a relatively limited set of aversive stimuli is usually neutralized. Thus,
for example, a person with a widespread social phobia may be desensi-
tized to a dozen or so imagined situations which cannot possibly encom-
pass the wide variety of interpersonal circumstances that provoke anxiety.
Under these conditions extinction effects must generalize from thinking to
acting and to situations that may contain some aversive elements which
were never neutralized. Results of laboratory studies reviewed in preced-
ing sections amply demonstrate that the effects of symbolic desensitiza-
tion do exert a significant influence on behavioral functioning. This is
shown not only in improved performance but also in the fact that the
number of hierarchical items successfully neutralized is positively corre-
lated with degree of reduction in phobic behavior ( Davison, 1968; Lang,
Lazovik, & Revnokls, 1965). However, the extent of behavioral transfer
is somewhat less than is frequently claimed on the basis of clinical ob-
servations.
Agras ( 1967 ) compared progress in desensitization and reduction in
GSR responses to imagined test scenes with reports of performance in
the actual feared situation by a small group of severely agoraphobic cli-
ents. Parallel changes were obtained on all measures, but improved per-
formance in the real-life situations lagged behind extinction of anxiety to
symbolic stimuli. However, no consistent relationship was found between
extinction of GSR responses to test items and reported behavioral change.
Hoenig & Reed (1966) likewise found only partial correspondence be-
tween degree of reduction in phobic behavior and extinction of GSR re-
sponding when the phobic cues were represented by word labels, by
imagination, and by the actual stimulus objects. These results are some-
what at variance with those reported by Rachman (1966), who tested
subjects' self-reported anxiety to actual phobic stimuli immediately after
they had been desensitized to imaginal representations of identical situ-

ations. Immediate generalization of anxiety reduction, as measured by

fear reports, was found in 82 percent of the tests. Unfortunately, neither
of the preceding studies involves a systematic test of avoidance behavior.
Considering that avoidance behavior appears to be influenced more by
central than by autonomic mediators, reliance upon GSR responsiveness
as the sole indicant of emotional arousal leaves much to be desired.
450 DESENSITIZATION THROUGH COUNTERCONDITIONING

The apparent discrepancies in findings probably depend, in part, on

differences in severity of phobic disorders, on whether one measures trans-
fer in terms of improved performance or decreases in subjective distress,
and on variations in the test procedures themselves. In an experimental
design in which the same subjects are repeatedly tested with real stimuli
following neutralization of imagined counterparts, any observed changes
reflect the combined effects of performance extinction and symbolic de-
sensitization. A precise appraisal of generalization unconfounded by test-
produced changes would require desensitizing different groups of subjects
to different levels in the hierarchy of anxiety-provoking stimuli and then
measuring their avoidance behavior in the actual feared situation that
corresponds to their highest neutralized item. It would also be of interest
to investigate generalization systematically as a function of degree of sim-
ilarity between the imagined stimuli that are desensitized and those en-
countered in the real-life situation.
From knowledge of stimulus generalization one would not expect
symbolic desensitization alone to exert vast transfer effects on instrumen-
tal responding. The degree of generalization will depend upon, among
other factors such as similarity of mediators, the number of stimulus ele-
ments that different situations have in common. The traditional desensiti-
zation procedure involves too limited a sample of aversive stimulus ele-
ments, and the threats are neutralized in too attenuated a form to produce
complete extinction of emotional responses to threatening events encoun-
tered in actual life circumstances. The more that imagined treatment
stimuli differ from their actual counterparts, the greater the transfer dec-
rements. In accord with theoretical expectation, the overall evidence of
laboratory studies Agras, 1967; Bandura, Blanchard, & Ritter, 1968; Davi-
(

son, 1968) shows that symbolic desensitization significantly reduces both

subjective distress and avoidance behavior, but the number of approach
responses that subjects can perform behaviorally is generally less than the
number that have been successfully desensitized in imagination. More-
over, new approach responses are usually accompanied by relatively high
anxiety when first performed.
It has sometimes been erroneously concluded, because of evidence
that persons experience anxiety while performing responses which have
ceased to be threatening in symbolic form, that desensitization procedures
do not achieve behavioral changes through extinction of the arousal po-
tential of aversive stimuli. Since some transfer loss is operative in symbolic
desensitization, this procedure is more likely to produce anxiety decre-
ments rather than complete anxiety extinction. It has been repeatedly
shown in laboratory studies that control subjects manifest undiminished
anxiety when they perform their pretest approach responses a second
time, whereas the same responses have lost much of their anxiety-provok-
Controlling Variables in De sensitization 451

ing capacity for matched subjects after they have undergone desensitiza-
tion treatment. To the extent that emotional arousal is reduced below the
threshold which would activate avoidance responses, people will be able
to engage in approach behavior, although with some residual anxiety.
In clinical practice symbolic desensitization is typically supplemented,
either deliberately or unwittingly, with other procedures that tend to fa-
cilitate transfer effects. Symbolic desensitization is most often combined
with performance extinction in which clients are urged to perform for-
merly inhibited behavior in carefully selected naturalistic situations as
their fears extinguish to equivalent imagined threats. Even though change
agents may not prescribe appropriate performance tasks, most people
nevertheless eventually engage in approach behavior as their avoidant
tendencies gradually weaken through treatment.
The desire to please the change agent and others may induce individ-
uals to venture fear-provoking behavior. Positive social reinforcement and
other rewarding outcomes accruing from successful performance of pre-
viously inhibited activities may further extinguish any residual anxieties.
In some cases desensitization is also supplemented by modeling proce-
dures which, in themselves, can produce substantial vicarious extinction
of emotional arousal. Thus, for example, in the frequently quoted case by
Jones (1924), extinction of the boy's animal phobia was achieved not
only by feeding him his favorite food in the presence of gradually in-
creasing anxiety-arousing stimuli, but also by having him observe the
positive response of other children as they played with the feared animal.
Abrupt increases in approach behavior were associated with each of sev-
eral modeling experiences.
In laboratory investigations, of course, these various "extraneous" in-
fluences are intentionally excluded. Because clinical outcomes are usually
obtained by diverse combinations of methods, results are difficult to eval-

uate and to compare with changes produced by single procedures under

laboratory conditions. Nevertheless, findings bearing on transfer effects
question the wisdom of relying solely upon symbolic desensitization for
eliminating behavioral inhibitions and conditioned anxiety. When such
methods are employed for clinical purposes they should be supplemented
with graduated performance tasks, positive reinforcement of approach be-
havior to overcome initial reluctance of phobic persons to re-expose them-
selves to feared situations, and modeling procedures to further augment
change in behavior. The use of supplementary procedures to obtain more
consistent extinction outcomes will be discussed more fully later.

COMPARATIVE EFFICACY OF COUNTERCONDITIONING PROCEDURES

A number of experiments have been specifically designed to compare
outcomes of desensitization with those obtained by other methods of
452 DESENSITIZATION THROUGH COUNTERCONDITIONING

change. Paul (1966) reports a methodologically sophisticated study in

which he compared, with appropriate controls, the relative success of
desensitization and interview approaches for modifying debilitating per-
formance anxiety in college students who experienced high distress in
public speaking situations. The students were initially administered a
series of personality questionnaires measuring both generalized emotional
responsiveness and apprehension about speaking before an audience.
Those who received high scores on the pretest measures participated in
a relatively stressful situational test in which they were asked to deliver
an impromptu speech before an unfamiliar audience including several
clinical psychologists who, the subjects were informed, would be evaluat-
ing their performance. Immediately prior to the test speeches the stu-
dents' pulse rates and palmar sweating were measured; in addition, their
actual speech performance was rated in terms of customary behavioral
indicants of anxiety. On the basis of these scores, students were randomly
assigned from stratified blocks to different treatment conditions and con-
trol groups.
One group of students received insight-oriented psychotherapy in
which self-understanding and insight into the psychological determinants
of their speech problems were pursued through conventional interpretive
techniques. In order to assess the degree of change resulting from effects
of social interaction and expectation of beneficial outcomes, a second
group of students was assigned to an "attention-placebo" condition. Dur-
ing each session the latter subjects were administered a placebo with
strong suggestions that the drug which they had received effectively re-
duces the occurrence of anxiety in stressful situations. Following the ad-
ministration of placebos subjects performed a supposedly stressful task
that, in fact, produced feelings of drowsiness. For students in the coun-
terconditioning group, relaxation was progressively associated with pub-
licspeaking items on a temporal anxiety hierarchy, graded from reading
about a speech two weeks before presentation to delivering a speech be-
fore a large audience. Students in a no-treatment control group merely
participated in all of the assessment procedures.
The therapy was limited to five sessions distributed over a period
of six weeks. Five practicing clinicians, who had considerable experi-
ence in the use of insight-oriented treatment approaches, administered
each of the three therapeutic procedures; this controlled for possible
variability stemming from differences in therapists' characteristics. Fol-
lowing completion of the treatment series, the subjects' degree of
physiological arousal, behavior dysfunctioning, and self-reported dis-

tresswere measured in the threatening speech test situation; approxi-

mately six weeks later the original set of personality questionnaires was
also readministered.
 Controlling Variables in Desensitization 453

100
Counter-conditioning

Insight r

Attention -placebo
|

Control group I

in to

SI
= 1
o c

Behavior Ratings Self-Reports

UL
Physiological

Figure 7-5. Percent of su bjects in each of the four conditions who displayed
Measures

decreases in anxiety as measured by behavior ratings, self-reports of emotional

disturbance, and measures of physiological arousal. Drawn from data of Paul,
1966.

The percentage of students in each group who exhibited decreases

in emotional behavior of a specified magnitude, as objectively assessed
in the standardized test situation, is summarized graphically in Figure
7-5. Statistical analyses of a variety of measures, including magnitude of
change as well as the percentage of cases displaying decrements in
emotionality, reveal that subjects in all three treatment conditions
showed significantly less overt behavior indicative of anxiety, and
reported less distress in the situational test as compared to the no-treat-
ment control group. However, only the subjects receiving the counter-
conditioning treatment achieved a significant reduction in physiological
arousal relative to the controls. Additionally, the counterconditioning
group proved consistently superior on all measures to subjects in the
insight and the attention-placebo conditions, which did not differ sig-
nificantly from each other. Follow-up data similarly disclosed that the
students treated by means of counterconditioning reported experiencing
less anxiety related to giving speeches than did students in either the
other treatment or the control groups.
It is also of interest that the therapists, who in their regular clinical
practice favored insight-oriented methods, not only rated subjects
treated by the desensitization procedure as having improved to a greater
 —

454 DESENSITIZATION THROUGH COUNTERCONDITIONING

degree, but indicated a significantly better prognosis for them as well.

Their prognostications were borne out by an additional follow-up assess-
ment (Paul, 1967), in which all subjects were readministered the per-
sonality tests approximately two years after the formal experiment was
completed. Desensitization yielded the highest percentage of subjects
(85 percent) who showed decrements (from pre-therapy ratings) in
speech anxiety two years later, followed by insight (50 percent), placebo
(50 percent), and non -treated controls (22 percent). The corresponding
percentages of improvement on generalization measures of interpersonal
anxiety were 36, 25, 25, and 18 percent for the four groups, respectively.
Not only did desensitized cases maintain their gains over time, but none
showed increases in performance anxiety or any evidence of substitute
forms of deviant behavior. These follow-up results, although most im-
pressive, should be accepted with caution considering that they are
based entirely upon self-report measures.
The foregoing project was later extended (Paul & Shannon, 1966)
by administering a group desensitization treatment to students, selected
from a waiting list, who, as controls of the earlier study, had shown no
reduction in anxiety during the waiting interval. Students in this condi-
tion participated in nine sessions during which their emotional responses
were neutralized to a common hierarchy of public speaking situations. An
additional control group, matched for sex, age, class, and equated on
personality test scores, was also included. In order to determine whether
elimination of speech fright improves academic functioning, students'
grade point averages for the semester prior to, and following, treatment
were obtained.
Group desensitization produced significant reductions in self-reported
anxiety with respect to speaking and other interpersonal situations, and
increases in extroversion. Additional comparisons involving these same
measures show group desensitization to be equally effective as individual
desensitization, but superior to the insight and placebo treatments.
Moreover, students treated with group desensitization showed a modest
gain, whereas nontreated controls suffered a substantial loss, in grade
point average. The is somewhat
latter finding surprising because one
would not expect most academic grades to be determined to any appre-
ciable degree by amount of public participation. The extensive general-
ization of favorable changes revealed also in the personality tests
assuming that they are manifested in actual social behavior as well may —
occur because verbal communication figures prominently in virtually all
socialand intellectual activities. The noted improvements were success-
fully maintained as revealed by a two-year follow-up study (Paul,
1968a). Group differences in academic performance provide even more
impressive testimony for the lasting benefits accompanying desensitiza-
Controlling Variables in De sensitization 455

tion treatment. Two years after the project was completed, 90 percent
of the students who received group desensitization had either graduated
or were completing their studies in good standing, whereas 60 percent
of the nontreated controls had dropped out of school. The grade point
averages for students in the group desensitization and control conditions
in the follow-up semester were 3.5 and 2.4, respectively.
The beneficial effects of desensitization on academic performance
are further corroborated by Mann & Rosenthal (1969) with elementary
school children. Compared to nontreated controls, children who suf-
fered from examination anxiety showed significant changes in test anxiety
and reading achievement scores after receiving either individual or group
desensitization. Interestingly, participant observers benefited to the same
degree as did direct recipients of the treatment procedures.
Another comparative test of the efficacy of counterconditioning meth-
ods for modifying diverse forms of phobic disorders is provided by
Lazarus ( 1961 ) , who employed an experimental design in which the
behavioral outcomes of group desensitization were compared with those
of conventional group psychotherapy. The experiment included acropho-
bics, claustrophobics, cases ofimpotence, and clients who each exhibited
a different type of phobic reaction. The participants were matched in
pairs on the basis of age, sex, and severity of the phobic behavior, and
were randomly assigned to desensitization and interpretive treatment
conditions. In addition, a third group of phobic clients, who received
interpretive treatment plus relaxation at the conclusion of each session,
was subsequently added in order to assess the possible effects of relaxa-
tion per se on avoidance behavior. The same person served as the thera-
pist for all three treatment conditions.
Only clients who exhibited severe phobic behavior, as measured by
actual behavioral tests, were selected for the experiment. In order to
minimize the possible influence of preliminary relationship experiences,
the relevant anxiety hierarchies were constructed from clients' written
responses to questionnaire items, rather than from personal interviews.
The clients who participated in the group desensitization were treated
in small, separate, homogeneous groups. For the acrophobic clients, a
common stimulus hierarchy was constructed utilizing primarily a physi-
cal proximity dimension beginning with a scene in which a subject is
looking down from a height of about 10 feet, and terminating with highly
anxiety-provoking items. The claustrophobic anxiety hierarchy repre-
sented a stimulus continuum in which the degree of spatial constriction
and ventilation were varied simultaneously from scenes depicting the
client "sitting in a large and airy room with all the windows open" to
"sitting in front of an open fire in a small room with the doors and win-
dows shut." Finally, the stimulus hierarchy items constructed for the
456 DESENSITIZATION THROUGH COUNTERCONDITIONING

impotent men described progressively intimate sexual situations ranging

from sitting close to a woman to pre-coital love-making in the nude.
During desensitization sessions, a deep level of relaxation was in-
duced, following which the participants were all asked to visualize the
scene which had been presented to them, and to signal the psvcho-
therapist whenever any stimulus item proved disturbing. The rate and
duration of presenting the hierarchical items were paced according to
the most anxious group-member. Clients who participated in the inter-
pretive treatment condition' received a traditional form of group psycho-
therapy which highlighted personal exploration of feelings and inter-
personal relationships, permissiveness toward and acceptance of emo-
tional expressions, and the development of insight into the origins and
the factors underlying their phobic disorders. These clients received a
mean of 22 sessions, the same number as their matched counterparts in
the desensitization groups.
The therapeutic outcomes for acrophobics and claustrophobics were
objectively assessedby situational tests administered one month follow-
ing the termination of the treatment sessions. The acrophobics were re-
quired to climb a fire escape to a height of approximately 50 feet, then
to accompany the experimenter inan elevator to the roof of the building
eight stories above the street, from where for two minutes they were to
count the automobiles passing below. A similarly rigorous objective cri-
terion was adopted as evidence that claustrophobic reactions were suc-
cessfully extinguished: The were required to remain in the
subjects
cubicle with the movable screen a few inches away without experiencing
any disturbance for a period of five minutes. A second observer was
present during the situational tests to provide a reliability check on
whether the client had successfully met the tolerance criteria. For obvi-
ous reasons, the impotent men were not subjected to a situational test,
nor was the behavior of the four clients in the mixed group objectively
measured. The improvement rates in these cases were based on reports
of significant behavioral change. Although capacity performance tests
are less subject to extraneous influences than self-report measures, results
of this study would have been more definitive had the assessments been
conducted by a tester who had no knowledge of the conditions to which
the subjects were assigned rather than by the therapist himself.
Phobic behavior was completely extinguished in 13 of the 18 clients
who received desensitization treatment, whereas the interpretive and
interpretive-plus-relaxation treatment successfully modified the phobic
responses in only 2 out of 17 cases. Additional evidence for the effective-
ness of counterconditioning is provided by the finding that 10 of the 15

clientswhose phobias were essentially unmodified by the interpretive

procedures were successfully treated by group desensitization within ten
Controlling Variables in De sensitization 457

sessions. A follow-up study conducted at varying intervals after the

termination of the treatment program revealed that 80 percent of cases
who were successfully treated by means of counterconditioning pro-
cedures maintained their behavioral changes, according to a stringent
criterion in which even the recurrence of weak phobic responses was
rated as a relapse. Gelder & Marks (1968) similarly found that a group
of phobic clients who had not responded to 18 months of group psycho-
therapy showed significant reductions in phobic behavior after a few
months of desensitization treatment.
Although most of the laboratory studies discussed in earlier sections
were primarily designed to isolate the contribution of component vari-
ables in the desensitization procedure, their results nevertheless have
some bearing on the efficacy of this approach. In evaluating outcomes a
distinction should be drawn between behavioral improvement and com-
plete elimination of avoidance behavior. The findings generally disclose
that a relatively brief program of desensitization involving five to ten
sessions produces improved performances in virtually all participants.
In the study by Bandura, Blanchard, & Ritter (1968), for example, 90
percent of the subjects who received desensitization treatment displayed
increases in approach behavior that exceeded the performances of their
matched nontreated controls. However, depending on the stringency of
the criterion test, only between 30 and 50 percent of the subjects achieve
complete extinction as evidenced by their ability to perform the terminal
approach tasks in behavioral tests (Bandura, Blanchard, & Ritter, 1968;
Davison, 1968; Lang, Lazovik, & Reynolds, 1965; Schubot, 1966). It

should be noted, of course, that these improvement rates are based on

very brief, time-limited therapies in which all subjects are tested after
several treatment sessions regardless of the number of hierarchical items
to which they have been desensitized. The actual therapeutic limits of this
particular form of counterconditioning can be best established by studies
in which behavioral improvement and complete extinction rates are ob-
jectively measured after subjects have been thoroughly desensitized to
the entire set of anxiety-arousing stimuli. In evaluating the efficacy of
treatment procedures the incidence of terminal performances should be of
major concern to discourage the development of complacency about
methods that consistently achieve performance gains but leave many of
the participants behaviorally incapacitated to some degree.
There are a number of clinical reports that present outcome data in
the form of therapists' judgments of their success rates. Wolpe (1958)
and Lazarus ( 1960, 1963b ) state that between 75 and 90 percent of the
clients whom they have treated were "markedly improved or completely
recovered." Hain, Butcher, & Stevenson ( 1966 ) report that desensitiza-
tion was effective in 78 percent of the cases and that improvements often
458 DESENSITIZATION THROUGH COUNTERCONDITIONING

occurred in areas of occupational, sexual, and social functioning beyond

the specifically treated phobias. Follow-up studies, conducted at inter-
vals ranging from six months to several years after the termination of
treatment, with few exceptions disclose that clients not only maintain
their gains, but many display additional positive changes in behavior. In
another paper Wolpe (1964) reaffirms the efficacy of desensitization
therapy for modifying complex behavior disorders.
Somewhat less favorable outcomes than those given above have been
published by Cooper (1963) and Marks & Gelder (1965) in retrospec-
tive comparisons of clients treated by "behavior therapy" and "psycho-
therapy" made in terms of general judgments of improvement rates from
case notes. In a spirited rejoinder Wolpe & Lazarus (1966) discount the
discrepant results as due to "the fledgling efforts of novices who have
learned the rudiments of systematic desensitization [p. 159]." Conflicting
data of this sort are not at all surprising as long as thev are not errone-
ously considered as measures of behavior outcome but are understood
instead as differences between therapists' judgmental responses (which
rarely correlate perfectly with clients' actual behavior functioning). In-
deed, one would expect diminishing correspondence between actual be-
havior and subjective ratings as one moves from objective measures of
clients' behavior to their own self-assessments, from clients' verbal reports
of performance changes to therapists' judgments of improvement, from
therapists' inferences based on clients' self-reports to information that
happens to get recorded in ease notes, and from case notes of undeter-
mined reliability to retrospective global ratings made by still another set
of judges who never had anv contact with the client. Major differences in
the types of case notes kept by therapists of behavioral and psycho-
dynamic persuasions further preclude any meaningful comparison be-
tween success rates. Much progress can be made in reducing fruitless
controversies about the relative superiority of rival methods by abandon-
ing the outcome numbers game in which therapists' judgments of their
clients' verbal reports of their behavioral changes are evaluated against

a legendary baseline figure of two-thirds improvement.

These types of quasi-outcome data have, at best, only suggestive
value. Apart from the subjective and general nature of clinical ratings,
the therapeutic interventions are exceedingly varied, including assertion
training, graded reexposure to feared situations, anxiety-relief proce-
dures, aversive counterconditioning, role playing, symbolic desensitiza-
tion, verbal prompting of desired response patterns, social reinforcement
of behavioral changes, and a host of unrecognized treatment factors as
well as a variety of unmeasured environmental influences. It is conse-
quently impossible to identify which treatment variables are responsible
for observed changes, even if the outcome figures were valid and the
 ;

Controlling Variables in De sensitization 459

behavioral modifications were attributable to the therapeutic interven-

tions. Of much greater concern, however, is the fact that subjective
evaluations of treatment outcomes lend themselves readily to unwarranted
claims of efficacy by their proponents and to premature rejection of
potentially promising approaches by their theoretical rivals.
Proof of the efficacy of procedures of treatment must rest on objective
assessment of behavioral changes and evidence of lawful covariation be-
tween specific learning variables and designated outcomes, rather than
on general judgments of improvement in "neurotic illness," achieved
through the use of varied combinations of treatment procedures. Labora-
tory experiments and controlled individual studies involving well-defined
manipulations of treatment variables and objective measurements of
behavioral changes will eventually yield reliable information regarding
the critical parameters in counterconditioning methods. Research of
this kind should not only greatly increase understanding of conditioning
processes, but it also provides the basis for refinements in treatment
procedures. The laboratory studies reviewed earlier represent an en-
couraging advance in this direction.
Innumerable single case reports are of interest not because they
validate anything but because they illustrate how counterconditioning
principles can be applied to exceedingly diverse anxiety disorders. Most
of these studies include detailed reports, often independently verified, of
the modifications achieved in clients' behavioral functioning. However,
in treatments involving the combined use of different procedures, desensi-
tization is obviously not the sole determinant of observed changes. It

is also important to bear in mind that case reports may convey an

overly favorable impression of the efficacy of a given treatment method
because of selective publication of successful cases.

APPLICABILITY OF DESENSITIZATION TREATMENTS

Desensitization procedures have been utilized to extinguish countless

circumscribed, but partially incapacitating, phobias including avoidance
of places and activities that might result in contact with feared animals,
birds, reptiles, and insects (Clark, 1963; Cooke, 1966; Friedman, 1966;
Ramsay, Barends, Brenker, & Kruseman, 1966); fearful avoidance of
automobiles, airplanes, and other types of transports (Kraft & Al-Issa,
1965a; Lazarus, 1960; Rosenthal, 1967; Wolpe, 1962); fear of water
(Bentler, 1962); storms (Costello, 1963); aversion to heat that prevented
the person from washing in warm water and from drinking or eating
hot foods (Kraft & Al-Issa, 1965b); and dread of atomic disasters that
resulted in avoidance of radios, television, movies, newspapers, conver-
sations, and other forms of communication that might bring news of
international disharmony ( Ashem, 1963 ) school phobias ( Chapel, 1967 )
;
460 DESENSITIZATION THROUGH COUNTERCONDITIONING

anxiety reactions to hypodermic injections and the use of sanitary pads

(Rachman, 1959), and and ambulances (Lazarus & Rachman,
to hospitals
1957); hyperesthesia ofand touch (Beyme, 1964); autonomic
taste
disorders (Cohen & Reed, 1968); and persistent apprehensions about
illness, physical injury, and death (Rifkin, 1968; Wolpe, 1961).

In addition to isolated phobias, desensitization methods have been

applied to the modification of pervasive behavioral dysfunctions resulting
from incapacitating obsessions and compulsions (Haslam, 1965; Walton
& Mather, 1963b), from claustrophobias and agoraphobias, from articula-
tory disorders (Gray, England, & Mohoney, 1965; Lazarus & Rachman,
1957; Rosenthal, 1968; Walton & Mather, 1963a), from recurrent night-
mares (Geer & Silverman, 1967) and insomnia (Geer & Katkin, 1966),
and from chronic alcoholism (Kraft & Al-Issa, 1967a). Finally, complex
interpersonal problems have been eliminated by extinguishing clients'
anxieties associated with sexual intimacy, aggressive and hostile be-
havior, close social relationships, social disapproval and rejection, failure
to meet external or self-imposed achievement demands, and fear of per-
sons in positions of authority (Hain, Butcher, & Stevenson, 1966; Kraft
& Al-Issa, 1967b; Madsen & Ullmann, 1967; Wolpe, 1958; Wolpe &
Lazarus, 1966).
It is commonly assumed, especially in psychiatric theorizing, that
grossly deviant behavior is primarily a function of biochemical deter-
minants, whereas deviations of lesser magnitude are governed by expe-
riential factors. Granted that physiological variables can contribute sig-
nificantly to behavioral variability, such evidence does not justify a
dichotomous theory of psvchopathology, particularly in view of the
absence of any objective criteria as to where the line of demarcation
should be drawn between so-called "neurotic" and "psychotic" response
patterns. In keeping with the dichotomous thesis, Wolpe (1958) questions
whether schizophrenics can profit from desensitization therapy. This
position implies, among other things, that persons who are considered to
be psychotic are incapable of classical conditioning. Contrary to this

view, laboratory studies provide evidence that schizophrenics not only

exhibit emotional conditionability (O'Connor & Rawnsley, 1959; Vino-
gradov, 1962), but apparently they differ little, if at all, in this respect
from groups judged to be normal (Howe, 1958; Spence & Taylor, 1953).
Favorable outcomes have been achieved in the few instances where
counterconditioning procedures were applied to emotional behavior ex-
hibited by individuals diagnosed as schizophrenic ( Cowden & Ford, 1962;
Zeisset, 1968).
The ease with which symbolic desensitization is achieved will depend
in part on secondary factors such as clients' attentiveness, cooperativeness
in visualizing verbally presented scenes, and facility in inducing anxiety-
Controlling Variables in Desensitization 461

inhibiting responses, in addition to variations in their conditionability.

Cowden & Ford ( 1962 ) for example, encountered considerable difficulty
,

in persuading their clients to carry out relaxation exercises. It is possible,

therefore, that grossly deviant personalities who present severe cognitive
deficits, inadequate attending behavior, and irrelevant associations to
verbal stimuli, would prove less responsive to exclusively symbolic forms
of counterconditioning therapy. Instances in which these types of limiting
factors are operative may require, at least in early stages of treatment,
greater reliance upon graduated reexposure to actual threats along with
stress-reducing stimuli that can be externally controlled.
The mere presence of anxiety and avoidance behavior does not
necessarilymean that conditioned emotionality is the central problem.
A person who lacks requisite behaviors for coping effectively with the
social, intellectual, and vocational demands of his environment will be
repeatedly subjected to punishing experiences. Under these circum-
stances, feared situations are, in fact, aversive and hence the emotional
arousal is not unrealistic. In cases of this type behavioral deficits constitute
the major problem, whereas the emotional component is a secondary
consequent. A treatment devoted solely to extinguishing emotional re-
sponses would be at best a temporarily effective means of producing a
relaxed incompetent. On the other hand, a treatment that established
behavioral competencies would substantially decrease the punitiveness of
the client's social environment and thus achieve stable reductions in
fearfulness.
A response induction program may be necessary even when anxiety
disorders do not originate in behavioral deficits. Persons who suffer
from unrealistic or disproportionate fears tend to avoid engaging in fear-
provoking activities. This often results in a spiraling process where fear
and avoidance prevent further elaboration of interpersonal skills, and
marginal competencies, in turn, render threatening situations even more
anxiety-arousing. In most cases, therefore, a combined treatment aimed
at extinguishing unwarranted fears and would
at instilling capabilities
yield best results.
Since removal of unwarranted avoidance behavior enables people
to participate in potentially rewarding activities, approach responses,
once they have been restored, are likely to be effectively maintained by
their favorable consequences. However, the initial behavioral changes are
sometimes impeded by the existing advantages derived from disabling
phobias. As a result of their phobic conditions, people may gain exemp-
tionsfrom certain responsibilities, they may reduce unpleasant vocational
and familial demands, and they may achieve considerable control over
the behavior of others. Where such hindering contingencies exist, unless
the rewards that contribute to the maintenance of avoidance behavior are
462 DESENSITIZATION THROUGH COUNTERCONDITIONING

withdrawn, desensitization alone is unlikely to bring about much be-

havioral improvement.

Identification of the Stimulus Determinants

of Emotional Behavior

Procedures that effect behavioral changes primarily through response

consequences ordinarily do not present any major diagnostic problems.
An agent of change who has at his disposal an effective means for evoking
the desired behavior and sufficiently powerful incentives can, given
adequate control over the environment, achieve substantial behavioral
modifications by overriding undetermined maintaining conditions. In
contrast, stimulus-oriented treatments, especially in their present stage
of development, require considerable diagnostic ingenuity. In order to
achieve any measure of success with classical extinction procedures the
primary stimulus determinants of emotional behavior must be accurately
identified and neutralized. In current practice the selection of anxiety
sources based upon informally collected data, from interviews, case
is

histories,and various personality tests, most of which were originally

constructed for entirely different purposes. Although no reliability studies
have been conducted in which different therapists select from the same
protocols what they consider to be the critical sources of anxiety, it
would come as no surprise to find low consensus, particularly in cases
involving multiform problems.
If the efficacy of counterconditioning methods be maximized, the
is to
present informal assessment approaches must be replaced by more effi-
cient and reliable procedures. In many eases, of course, the eliciting stim-
uli are readily identifiable. In others, however, the occurrence of emo-

tional responses is dependent upon stimuli that lack distinctiveness, or

upon particular patterns and sequences of events which are difficult to
discern. However, individuals are rarely continuously anxious; rather,
they tend to display such reactions only at certain times and under
particular circumstances. Covariations between stimulus events and emo-
tional responding can, be best identified through careful
therefore,
analysis of regular variations in the onset and magnitude of emotional
behavior. After the pattern in anxiety responses has been determined,
one can isolate common features in situations in which the behavior
typically occurs. The major controlling stimuli cannot always be identified
solelythrough systematic examination of the objective characteristics of
environmental events which may, in fact, be highly dissimilar. Rather,
the common determinants are often revealed in detailed accounts of the
thoughts and subjective reactions that clients experienced in anxiety-
producing situations.
Identification of the Stimulus Determinants of Emotional Behavior 463

New assessment approaches are particularly needed for isolating

stimulus determinants when only gross covariant relationships are noted.
Information of this kind can be obtained by systematic behavioral
measurement of emotional reactions, both in the presence and in the
absence of specific contextual and social cues which appear to be regu-
larly correlated with variations in the observed anxiety responses. Be-
cause of the countless and complex varieties of learning histories rep-
resented by clinic populations,a highly flexible stimulus exploration
procedure is required. When utilization of physical events is too cumber-
some and impractical, suspected fear-provoking situations can be easily
presented in verbal or pictorial forms. Emotional responses to these po-
tential threats might be measured behaviorally, physiologically, through
verbal reports, or a combination of these methods.
Before turning to other issues of stimulus specification, it is necessary
to clarify several common misconceptions about the range of applicability
of counterconditioning procedures. In most polemical discussions of
psychotherapy, behavioral and psychodynamic approaches are usually
presented as rival methods of treatment suitable for different types of
anxiety conditions. Advocates of psychodynamic methods typically as-
sume that desensitization is essentially limited to simple "monosympto-
matic" disorders under the control of clear-cut stimuli, whereas psy-
chodynamic procedures are suitable to more complex and pervasive
anxiety problems. Behaviorally oriented therapists, on the other hand,
contend that desensitization procedures are applicable to any dysfunction
involving anxiety, and view psychodynamic approaches as having proved
ineffective in modifying either simple or complex conditions.
Greatest progress would be achieved in developing efficacious treat-
ment approaches if these ill-defined partisan labels were retired from
further use. Much
time has been spent fruitlessly in attempts to define
what constitutes "behavior therapy" and "psychotherapy." A more pro-
ductive and less confusing approach to the understanding of social in-
fluence processes is to focus on the basic mechanisms through which
behavioral changes are produced. These mechanisms are undoubtedly
brought into play to varying degrees by conditions created either deliber-
ately or unwittingly by change agents in influence attempts arbitrarily
designated behavior therapy, psychotherapy, counseling, reeducation, or
some other appellation. In each of the foregoing enterprises change
agents model certain attitudes and response patterns. One might, there-
fore,analyze these various activities in terms of the behavior the change
agents are modeling, its functional value for the recipients, and the
extent to which conditions that facilitate modeling are present. Similarly,
one might examine reinforcement influences, which are operative in all
social situations, to determine what behavior is being reinforced, with
464 DESENSITIZATION THROUGH COUNTERCONDITIONING

what frequency, and by what means in different systems designed to

modify psychological functioning.
Because of the ambiguities and erroneous impressions associated
with the terms "behavior therapy" and "psychotherapy," their continued
use beclouds most of the fundamental issues in this field. For example,
the rate at which a given behavior can be extinguished depends upon
the nature of its maintaining conditions rather than upon whether it is
"monosymptomatic" or part of a multiform problem. In fact, many so-
called simple disorders, such as tics, that are immediately self -reinforcing
because their occurrence is tension-reducing, are unusually resistant to
change. Therefore, some apparently simple behaviors fail to respond
well to treatment, whereas many complex disorders are readily modifi-
able (Lazarus, 1963a; Meyer & Crisp, 1966). Moreover, whether emo-
tional responses arc limited or diffuse is often determined by the per-
vasiveness of emotion-arousing cues rather than by conditions existing
within the individual. Those for whom snakes arc threatening will exhibit
a highly circumscribed phobic disorder because reptiles are rarely or
never encountered in urban settings. By contrast, when anxiety has been
conditioned to stimuli that appear in a variety of frequently encountered
situations, persons will experience pervasive or "free-floating" anxiety
(Wolpe, 1958). Similarly, if our unperturbed snake-phobics were to be-
come residents in a reptile-infested locale, they too would exhibit diffuse
and disabling anxiety disorders.
Discussions of desensitization often create the impression that this
procedure is principally applicable to stimulus events that are easily
specifiable and nonsocial in character; whereas anxieties arising from
aggression, dependency, sex, and other interpersonal sources are made
to seem the exclusive domain of psychodynamic approaches. In actuality,
desensitization methods are not restricted, either on theoretical or practi-
cal grounds, to any particular set of emotion-arousing stimuli. Indeed, a
counterconditioning form of treatment could be employed to neutralize
the negative valence of Oedipal fantasies in clients for whom this might
constitute a problem.
It would perhaps be more accurate to say that the applicability of
desensitization treatment is mainly limited by therapists' ingenuity in

identifying sources of anxiety, particularly when the crucial stimulus

determinates are obscure. This task is complicated by the absence of any
objective criteria for determining the appropriate events for treatment.
Let us consider, for example, a female agoraphobic who is unable to
venture outside the household. Should one desensitize her to progressively
farther anxiety-arousing excursions from the home? One might argue
that her phobic behavior arises from a morbid fear of sexual encounters,
apprehensions about abandonment and helpless exposure to crowds, or
Identification of the Stimulus Determinants of Emotional Behavior 465

some other sources, and it is these contents that must be emphasized in

the treatment. To take another example, should a snake-phobic be de-
sensitized to progressively closer interactions with reptiles or to genital
concerns on the assumption that "the sight of snakes provokes penis
emotions [Fenichel, 1945, p. 48]"? Laboratory studies of desensitization
furnish some evidence that claustrophobia can be successfully eliminated
by neutralizing individuals' emotions to cues of increasing space con-
striction (Lazarus, 1961) without focusing on their fears of being "left
alone with dangerous impulses and fantasies [Cameron, 1963, p. 286]";
acrophobics have lost their fear of heights through utilizing elevation
hierarchies (Lazarus, 1961) rather than fears of "falling in self-esteem"
or "self-destructive impulses [Cameron, 1963, p. 280]"; and countless
snake-phobics have been cured by being desensitized to reptile rather
than phallic stimuli. In view of these interesting findings, it would be

most instructive to compare the degree to which phobic behavior is

extinguished when desensitization is directed toward either the phobic
stimuli themselves or the hypothesized internal threats. A desensitization
procedure combined with objective measurement of changes in avoidance
behavior provides an excellent means of testing different theories regard-
ing the stimulus determinants of emotional response patterns.
As illustrated in the preceding examples, psychodynamic formulations
assume that anxieties are internally generated by arousal of unconscious
impulses which are then displaced and projected onto environmental
objects. External phobic cues are therefore regarded as pseudoevocative
stimuli. Contrary to this interpretation, successful neutralization of emo-
tional responses to phobic stimuli not only produces stable decreases in
avoidance behavior without the emergence of new deviant responses,
but it is often accompanied by reductions in anxiety in other areas of
functioning (Bandura, Blanchard, & Ritter, 1968; Lang, Lazovik, &
Reynolds, 1965; Paul, 1967). The latter findings make the view that
avoidance behavior is controlled by displaced and projected stimulus
valences appear of questionable validity, or alternatively, suggest that
neutralization of external projective stimuli is one of the most powerful
means currently available for extinguishing the arousal properties of
unconscious internal events.
The above discussion is not meant to imply that stimulus determinants
are always inferable from the content of deviant responses. In many
cases emotional behavior is under multiple stimulus control in which
some of the evocative cues, because of peculiar conditioning histories,
may be thematically remote. Also, complex social behaviors characteristi-
cally depend upon interrelated activities, each governed by somewhat
different stimuli. A given performance may consequently be inhibited
or disrupted by anxiety arising from thematically different component
466 DESENSITIZATION THROUGH COUNTERCONDITIONING

functions that are not readily evident. The operation of these more intri-
cate stimulus determinants is best illustratedby applications of desensiti-
zation procedures to the modification of diverse sexual disorders.
According to Bond & Hutchison (1960) the most frequent classes of
exposure-eliciting stimuli for sexual exhibitionists are stress experiences
provoking inadequacy and females who possess certain physical char-
acteristics that have been endowed by the exhibitionist with unusually
high sexual valence. The authors therefore employed both sexual and
devaluation hierarchies in treating a 25-year-old male who presented a
long history of persistent genital exposure leading to 24 charges of
indecent exposure including eleven prison convictions. The client had
undergone a variety of treatments without benefit, including individual
and group therapy, carbon dioxide abreaction therapy, moralistic exhor-
tations under hypnosis; finallv, in desperation, he resorted to a specially
designed chastity belt that his wife locked in the morning and unlocked
at night. Even these physical restraints failed to control the client's
behavior as he was once again arrested for indecent assault as he at-
tempted to grasp the legs and breasts of a young woman while wearing
his chastity belt.
Three hierarchies of exposure-provoking stimuli were constructed
for the desensitization treatment. One set of stimuli was graded on the
basis of the age and physical appearance of the females, ranging from
older women who minimally provoked exposure to young attractive fe-
males. These stimuli were presented in each of four settings in which
genital exposure frequently occurred (i.e., in department stores, on
beaches, on sidewalks, and in automobiles). In addition, a separate
hierarchy was constructed on the basis of washroom situations, since
they served as the most potent contextual stimuli for exhibitionism. The
third stimulus dimension contained social situations giving rise to feel-
ings of inadequacy. These sets of eliciting stimuli were then progressively
paired with hypnotically induced relaxation over a period of 30 sessions.
The client was also instructed to practice relaxation and to initiate this
chain of responses by the word "relax."
As treatment progressed the client became less emotionally aroused
by provocative females, his exhibitionistic urges and sexual fantasies
diminished in frequency and intensity, and he displayed increasing volun-
tary control over his exposure behavior on occasions when he experienced
some degree of emotional arousal. As the client made continued improve-
ment, he was able to participate in group activities involving close
heterosexual contacts without experiencing any tension or urges to expose
himself. He showed no exhibitionistic behavior for a period of 13 months
following the termination of therapy (Bond & Hutchison, 1964). Sub-
sequently, the client exposed himself on a few occasions to women in
Identification of the Stimulus Determinants of Emotional Behavior 467

washrooms in response to severe financial and vocational stresses, but

provocative females in public places such as parks, streets, and depart-
ment stores no longer elicited sexual exhibitionism.
It is of interest that in the above case deviant sexual behavior was
partly controlled by nonsexual stress events. Wolpe (1958) similarly
reports the successful treatment of a pharmacist who suffered from im-
potence by desensitizing him to essentially nonsexual cues. This client,
who had experienced satisfactory sexual relationships with several differ-
ent girls, suddenly became impotent when he attempted intercourse
with a virgin girlfriend who yielded reluctantly to his insistent pressures.
During this unsuccessful seduction the client found himself thinking
about a disturbing childhood event in which he overheard his parents
having intercourse; the mother's protestations and weeping had appar-
ently succeeded in conditioning aggressive and brutal meanings to the
sexual act. This conditioning was undoubtedly facilitated by the marked
hypersensitivity to aggressive and physical injury cues that the boy
exhibited long before witnessing the parental sexual episode. By the time
the client had entered psychotherapy he was sexually incapacitated, not
only by generalization from the parental situation to the virginal girl-

friend, but also by a secondary generalization from her to a subsequent

girlfriend who bore a physical resemblance to her. On the basis of a
learning analysis of the impotence, the anticipated pain and physical
injury cues occurring during defloration were considered to be the
critical events producing the sexual inhibitions. The client was therefore
desensitized to several stimulus dimensions involving physical injury,
vocalization of pain and suffering, and violent verbal interchanges re-
sembling the parents' endless arguments. Complete sexual responsiveness
was restored after aggressive and pain cues lost their capacity to evoke
anxiety.
Further suggestive evidence that in some cases inhibition of hetero-
sexual behavior may be maintained primarily by anxiety attached to social
and physical contact cues rather than to sexual stimuli per se is provided
by Stevenson & Wolpe 1960 ) in the treatment of a pedophile and two
(

homosexuals. All three clients displayed markedly passive, submissive,

and withdrawn behavior that apparently stemmed from authoritarian
control by tyrannical parents. As a consequence of this aversive social
training a broad class of interpersonal responses was inhibited except
toward little girls in one case, and toward nurturant nonthreatening male
companions in the other two. The treatment strategy in all three cases
consisted essentially of training in socially assertive behavior. The fact
that these clients readily adopted exclusively heterosexual patterns of
behavior and experienced them as positively reinforcing after assertive
responses had been developed suggests that the deviant sexuality was a
468 DESENSITIZATION THROUGH COUNTERCONDITIONING

function of generalized interpersonal anxieties, rather than of specific

sexual origin.
The covariant relationship between assertiveness and sexuality noted
in the preceding cases is convincingly demonstrated by Kahn (1961) in
a laboratory experiment with infrahuman subjects. Two groups of mice
were trained in either socially aggressive or submissive behavior. Both
groups were then tested for sexual responsiveness toward virgin females
known to be in estrus. The social training in aggression and submission
had a striking differential effect on the mating responses of the males.
Whereas the aggressively trained animals immediately pursued the
females, copulated with them, and remained sexually active throughout
the test session, not a single submissive animal did so. On the infrequent
occasions when the submissives approached their female companions,
they did so very hesitantly and then quickly reverted to the avoidant
response pattern.
The findings of the latter experiment may be interpreted in several
ways. To the extent that aggression is an important component of sexual
behavior ( Ford & Beach, 1951 ) then any increase or inhibition of aggres-
,

sive responses would be associated with a corresponding enhancement or

inhibition of sexuality. Since, however, the animals failed to initiate any
sexual responses, including preparatory ones, any anxiety-evoking stimuli
accompanying either aggressive or sexual behavior could not have been
generated in the test situation. Therefore, a second and perhaps more
likely explanation of these findings is that the previously acquired physi-
cal contact anxieties motivated and reinforced generalized avoidance
responses that precluded the occurrence of any sexual behavior, even if

such responses were only weakly inhibited.

The discussion thus far has illustrated how anxiety arising from
nonsexual sources can control the inhibition of appropriate heterosexual
behavior. Actually, it is possible to delineate several different stimulus
determinants of sexual deviance, each requiring a somewhat different
treatment strategy. First, there is the behavioral syndrome, to which
reference has already been made, wherein social and physical contact
arouse anxiety reactions, but sexual stimuli per se may be positively
valenced. In these cases, a program of treatment utilizing modeling and
reinforcement procedures designed to foster and disinhibit interpersonal
approach tendencies is likely to result in a corresponding enhancement
of heterosexual behavior.
Asecond frequently encountered pattern is one in which a person
has or no apprehension about close social interactions, but sexual
little

cues, particularly those associated with coital performance, are negatively

valenced. Impotence, frigidity and other specific sexual inhibitions are
common complaints associated with the latter syndrome. For problems
Identification of the Stimulus Determinants of Emotional Behavior 469

of this sort, the neutralization of sex-related stimuli, through some form

of desensitization procedure, would be the method of choice. An ex-
ample is provided by Lazarus & Rachman (1957), who successfully
treated a case of impotence of recent origin by eliminating anxiety to
pre-coital scenes. In instances where the sexual inhibitions are less
strongly established, impotence can be effectively modified by having
the client follow a self-administered program of desensitization in actual
sexual situations (Wolpe, 1958). The latter procedure is described more
fully in a later section of this chapter.
Individuals who are more severely incapacitated because they respond
with strong anxiety to close interpersonal contact as well as specific cues
would benefit most from a treatment program combining both desensiti-
zation of interpersonal and sexual cues and training in interpersonal com-
petencies.
Finally, it should be realized that deviant sexual behavior is some-
times maintained by substantial positive reinforcement, whereas anxiety
mechanisms, which may have figured prominently in the genesis of the
disorder, currently play a minor role. Many homosexual patterns of
behavior are, in fact, sustained by the positive rewards deriving from
homosexual alliances (Henry, 1941; Hooker, 1961). If the person should
desire tochange his sexual orientation, differential reinforcement proce-
dures designed to reduce the strong positive valence of homoerotic
stimuli and to enhance responsiveness to heterosexual cues would con-
stitute theappropriate therapeutic strategy in such cases. These methods
are discussed in some detail in the next chapter.
The necessity for identifying the controlling stimuli and determining
the functional value of behavioral dysfunctions before selecting the
method of treatment is well illustrated in a clinical study reported by
Lazarus (1963b). Sixteen women with chronic frigidity were adminis-
tered the standard desensitization procedure on the assumption that
frigidity represents conditioned avoidance maintained by sexually gener-
ated anxiety. The desensitizationwas conducted along stimulus dimen-
sions of increasing intimacy and other sexually inhibiting stimuli that
were unique improvements in sexual relation-
to each case. Significant
ships, as reported by the women and corroborated by their husbands,
were achieved in 9 of the 16 women for whom frigidity appeared to be
determined by sexual anxieties. The majority of the others, most of whom
displayed intense and generalized hostile attitudes toward men, ter-
minated therapy after several interviews. This subgroup of women evi-
dently required a treatment program aimed at reducing hostile behavior.
Where hostility toward men results from a sense of inadequacy and
submission, a program of assertion training would not only reduce ex-
ploitation, which a submissive person is likely to incur, but at the same
470 DESENSITIZATION THROUGH COUNTERCONDITIONING

time increase feelings of self-esteem and self-worth. In addition to

establishing new response orientations toward men through modeling and
positive reinforcement, desensitization procedures might be employed
to decrease excessive hostility to inevitable evocative situations. To
achieve greatest gains it may also be necessary to reduce hostility-gener-
ating behavior on the part of the husband.

ANXIETY RESPONSE DECREMENTS AS A FUNCTION

OF NEUTRALIZING PRIMARY AND GENERALIZATION STIMULI
The introductory chapter discussed how emotional responses elicited
by a particular stimulus tend to generalize spontaneously to a wide
variety of cues falling on the same physical or semantic stimulus dimen-
sion. It has also been demonstrated in numerous laboratory studies
(Bass & Hull, 1934; Hoffeld, 1962; Hovland, 1937) that extinction effects
also generalize to stimuli at all points on the generalization gradient.
Whether extinguishing emotional responses to the primary conditioned
stimulus is more effective in neutralizing the
entire range of similar cues
than desensitizing the individual to generalization stimuli represents a
question of considerable theoretical and practical importance.
Many theories assume that stable and widespread behavioral changes
will result only if the prototypic conditioning involving the primary
stimulus object is modified. Consequently, a considerable amount of time
is typically devoted to diagnostic exploration and reconstruction of the
before any therapeutic interventions are attempted.
client's social history

If were found that neutralizing a generalization stimulus had about as

it

much effect on the extinction gradient as would result from extinguishing

emotional responses to the original conditioned stimulus, then it would
make little difference at which point on the stimulus continuum the
change agent began the counterconditioning process. Unfortunately,
laboratory experiments necessary to resolve this issue have not yet been
conducted. A few investigations have been reported, however, in which
the magnitude of emotional responses to the CS originally employed in
the establishment of conditioned responses is assessed as a function of
extinguishing emotional reactions to generalization stimuli located at
various distances from the CS. Findings from these studies (Bass & Hull,
1934; Hoffeld, 1962; Hovland, 1937) consistently demonstrate that
neutralizing any relevant stimulus, whether adjacent to, or remote from,
the CS, has the effect of reducing somewhat the emotional responsiveness
to cues at all pointson the generalization gradient. The anxiety decre-
ment, however, becomes progressively smaller the farther the test stimuli
are removed from the stimulus selected for extinction.
The foregoing findings suggest that positive outcomes can be achieved
to some degree by deconditioning any stimulus possessing anxiety-
 .

Identification of the Stimulus Determinants of Emotional Behavior 471

arousing properties, but that the greatest benefits will be derived from
focusing on the particular events that the change agent wishes to neutral-
ize, regardless of whether they constitute the original or the generalized

stimuli. On the basis of these findings there is no reason to expect that

desensitizing the primary conditioned stimulus would have
a more wide-
spread effect on generalization cues than neutralizing the latter stimuli
directly. Thus, for example, if a given individual's anxiety responses
to persons in authority primarily represent generalization from earlier
punishing experiences with his parents, more substantial and rapid
benefits would be derived from neutralizing emotional responses to
authority figures whom he currently fears than to his parents.

BASIC STIMULUS DIMENSIONS

After the stimuli to be counterconditioned have been selected, they

must be scaled in terms of their emotion-eliciting potential if one em-
ploys a graduated approach. In setting up the stimulus hierarchies, the
potency of aversive cues can be varied on several dimensions. When emo-
tional responses are elicited by nonsocial events they can be ordered in
terms of physical proximity to the feared objects. The use of a proximity
dimension is illustrated in Wolpe's ( 1962 ) treatment of a woman suffering
from a severe automobile phobia that originated from a collision at a
crossroad. An anxiety hierarchy was constructed involving highway
scenes in which cars made progressively closer advances to the client's
automobile as it approached a highway intersection.
Stimulus hierarchies have been constructed in terms of a temporal
dimension for treating fears of public speaking (Paul, 1966), separation
anxieties (Lazarus, 1960), and apprehensions about examinations (Emery
& Krumboltz, 1967). A symbolic-reality dimension is frequently employed
in setting up the anxiety stimulus continuum. A claustrophobic series
may range from reading about others being confined in small enclosures
to imagining oneself "trapped" in a stalled elevator for progressively
longer periods of time (Wolpe, 1961); a snake-phobic series may vary
from writing the word "snake" to handling plastic specimens, to holding
a live nonpoisonous reptile ( Lazovik & Lang, 1960 )
Another effective way of grading cues is by varying the number of
emotion-provoking elements in the total stimulus complex. In Wolpe's
(1962) treatment of the automobile phobia described above the anxiety-
arousing value of traffic scenes was controlled by varying the speed

of the automobiles, the trustworthiness of drivers in the approaching

cars, the presence or absence of traffic signs and signals, and the charac-
teristics of the person driving the client's car.
For many persons who seek treatment, relatively complex social
stimuli or interpersonal responses themselves serve as the primary sources
472 DESENSITIZATION THROUGH COUNTERCONDITIONING

of anxiety. In scaling the emotion-arousing properties of social cues, the

nature and intensity of the behavior of others can be utilized as the
basis for graduating threats. Thus, for example, a person who was
greatly disturbed by was gradually desensitized
displays of aggression
to a stimulus hierarchy which ranged from a situation in which men
engaged in a mild argument to one in which the participants physically
attacked each other (Wolpe, 1958); similarly, a graded series of devalu-
ation situations was set up for a gynecologist who was extremely sensi-
tive about any criticism or rejection from others (Wolpe, 1962). An
intensely jealous male was treated by utilizing a series of jealousy-pro-
voking hierarchies, each of which depicted varving degrees of friendly
interactions between the client's fiancee and several rival males (Wolpe,
1958).
In the illustrations presented thus far the determinants of emotional
responses are primarily external social or situational cues. If a person
has been repeatedly punished for displaying a particular form of behavior,
the tendency to perform these social responses becomes, through their
association with punishment, a stimulus for anxiety. Thus, for example,
if punishment lias occurred frequently in conjunction with aggressive
behavior, its expression will elicit anticipatory emotional reactions. Sim-
ilarly, if sexual behavior is associated with punishment, sex responses
gradually acquire anxiety-evoking properties. Both of the emotional reac-
tions considered arc 1
response-eon elated or self-generated. The stimulus
hierarchies in the treatment of such classes of anxiety disorders would con-
tain increasing intensities of the negatively valenced social responses,
ranging from attenuated forms that are likely to elicit relatively mild
anxiety to more forceful expressions capable of arousing emotional re-
sponses of high magnitude.
Although the preceding discussion has highlighted individual dimen-
sions on which emotion-eliciting cues can be ordered, in many cases the
stimulus hierarchies are constructed by varying cues on several dimen-
sions simultaneously. Moreover, many psychological problems are multi-
form in character and, consequently, a number of different stimulus
hierarchies containing both environmental or response-produced cues
may have to be constructed for a given individual in order to encompass
the full range of his anxiety responses. The more generalized the emo-
tional behavior, the greater the need for multiple hierarchies.

Neutralization of Threats in Symbolic or Realistic Forms

For reasons of ease, economy, and flexibility, counterconditioning is

typically directed toward symbolic representations of actual threats.

Symbolic presentation obviates the practical inconvenience and encum-
Neutralization of Threats in Symbolic or Realistic Forms 473

brance of graded physical presentations; it also allows the client to termi-

nate fear-arousing stimuli without making actual avoidance responses by
simply thinking of something else. As illustrated in the preceding section,
persons may be desensitized to imagery of aggressive behavior, sexual
intimacy, social rejection, or any other type of emotion-provoking situa-
tion. The
desensitization procedure devised by Wolpe, therefore, repre-
sents a form of cognitive counterconditioning where both the aversive
events and the opposing positive condition are verbally induced and sus-
tained through covert self-stimulation rather than through paired pres-
entation of the physical stimuli themselves. Unlike direct forms of de-
conditioning in which, for example, a feared rabbit appears in temporal
conjunction with positive consummatory responses (Jones, 1924), the sub-
ject is instructed to visualize the rabbitand to imagine himself eating a
delicious culinary treat. Inview of the heavy reliance of Wolpe's method
upon symbolic processes, it is surprising to find this approach described
critically as being concerned onlv with peripheral skeletal processes
(Murray, 1963; Shoben, 1963).
The utilization of symbolized aversive events is predicated on the as-
sumption that stimuli in this form possess emotion-arousing properties
analogous to their real-life counterparts. If this were not the case, the
symbolic method would afford little opportunity to decrease the arousal
potential of actual threats, and hence, there would be no appreciable
treatment effects to transfer from imagined to real situations. Results of
several studies demonstrate that thoughts do have arousal capabilities.
Miller (1950) found that emotional responses conditioned to overt ver-
balizations generalized extensively to their cognitive equivalents so that
thoughts of the negatively valenced events generated strong GSR respon-
siveness, whereas thoughts of responses that had never been punished
failed to elicit any emotional arousal. Barber & Hahn (1964) measured
subjective discomfort and physiological responses (heart rate, frontalis
muscle tension, and reduction in skin resistance) in subjects who re-
ceived either a painful cold stressor or merely imagined the unpleasant
experience. They found that imagined painful stimulation produced sub-
jective distress and physiological responses similar to those induced by
actual painful stimulation. In a study directly relevant to the desensiti-
zation procedure, Grossberg & Wilson (1968) found that instructions to
visualize fearful scenes generated significantly more autonomic arousal
than instructions to imagine neutral situations.
Individuals who are unable, for one reason or another, to visualize
threatening stimuli vividly, or for whom imagined scenes fail to evoke
emotional reactions, will most likely derive little benefit from an exclu-

sively cognitive form of counterconditioning treatment. It is not entirely

clear why, in some cases, symbolic stimuli have not spontaneously ac-
474 DESENSITIZATION THROUGH COUNTERCONDITIONING

quired, through some emotion-arousing potential from

generalization,
their actual counterparts towhich conditioned responses were originally
established. This phenomenon may partly reflect the outcome of a partic-
ular form of discrimination training that markedly influences the gen-
eralization gradient. Under conditions where thoughts, feelings and ver-
balizations are accepted or even encouraged but corresponding overt
actions are punished, emotional conditioning is apt to be confined to the
actual activities. This type of differential renforcement of verbalizations
and actions is, in fact, often recommended in popular books on child-
rearing (Baruch, 1949), and widely practiced socially.
Since therapists can exercise only indirect control over client's self-

stimulation, requisite treatment conditions are sometimes difficult to

create and to manage in a cognitively mediated desensitization. Weinberg
& Zaslove (1963), for example report that individuals occasionally at-
1
,

tenuated the aversiveness of situations presented for their visualization

by incorporating protective elements. Lazovik & Lang (1960) similarly
found that a phobic subject, who derived little benefit from desensitiza-
tion, tended to modify the presented scene by simultaneously visualizing

herself in a comfortable situation. Emotional responses can be successfully

protected from extinction by introduction of discriminative safety cues
(Solomon, Kamin, & Wynne, 1953). In addition to stimulus-attenuating
alterations, individuals sometimes generate excessively high levels of
arousal by adding unintended aversive elements to a presented scene. In
an effort to increase the affective value of nonarousing imagined stimuli,
and to minimize stimulus modifications in undesired directions, clients
who present these types of problems are often instructed to verbalize
aloud what they are visualizing (Wolpe, 1958).
Aversive stimuli can be more precisely controlled, the potency of coun-
1

terconditioning methods can be augmented, and problems of transfer of

extinction effects to real-life situations can be largely obviated by utiliz-
ing actual anxiety-provoking objects or situations. These benefits accrue
because emotional responsiveness is extinguished to the actual stimuli
that exercise strong control over avoidance behavior under naturalistic
conditions rather than to symbolic events that may possess weaker arousal
potential because of their dissimilarity to the primary instigators. In keep-
ing with this assumption, Strahley ( 1966 ) demonstrated that
phobic sub-
jects who were required to interact with the feared object achieved
greater reduction in fear and avoidance behavior than subjects who re-

ceived symbolic desensitization.

A few have been reported in which a graded series of tangible
studies
stimuli was employed in the desensitization paradigm. Clark (1963)
treated a 31-year-old woman who, for more than 25 years, had exhibited
a seriously incapacitating phobia of feathers and birds. Although she
 .

Neutralization of Threats in Symbolic or Realistic Forms 475

was able to visualize scenes involving birds without displaying much

affective arousal, she was unable to venture out of doors to situations
where there was any possibility that birds might be encountered (e.g.,
parks, zoos, outdoor walks, or the seaside); she responded with marked
anxiety to down and feathered hats, and suffered from
pillows, cushions,
persistent "anxiety dreams of people throwing feathers and birds swoop-
ing." The treatment sessions were conducted in the following manner:
After feelings of calm relaxation were hypnotically induced the therapist
first presented a feather at a distance and gradually brought it closer

so long as the client showed neither subjective disturbance nor GSR

deflections.Repeated stimulus presentations were interpersed with sug-
gestions of relaxation and calmness. In this manner the woman was de-
conditioned to a wide variety of increasinglv disturbing physical stimuli
that included feathers of all shapes and sizes, bags full of feathers, stuffed
birds with wings folded and outstretched, and finally, caged live birds.
As the client displaved increasing tolerance of feathers, she was en-
couraged to perform a corresponding graded series of tasks in real-life
situations to further augment the deconditioning and generalization
process. After 20 treatment sessions she was "completely undisturbed
by sleeping on feather pillows, could have handfuls of feathers flung at
her, could plunge her hands into a bag of down and no longer feared
going outdoors or birds in the garden [p. 65]."
Freeman & Kendrick (1960) similarly employed a physical stimulus
dimension in treating a woman who was terrified of cats and responded
anxiouslv toward a wide variety of furry objects. The hierarchical items
included pieces of material graded in texture and appearance which
ranged from velvet to catlike fur, toy kittens, pictures of cats, a live
kitten, and finally a large full-grown cat. In addition to adults who are
unable to produce emotion-arousing imagery, it is also difficult to employ
symbolic desensitization with young children. Consequently, applica-
tions of these methods to young age groups typically involve carefully
graded exposures to actual feared objects (Bentler, 1962; English, 1929;
Jones, 1924; Lazarus, 1960 )
Aversive stimuli have occasionally been presented in other tangible
forms when imaginal procedures were either ineffective or inapplicable.
Friedman (1966) successfully treated a deaf mute who was incapacitated
due to a severe dog phobia by employing pictorial stimuli of dogs
arranged in increasing size and ferocity. Results of a study by Leon
( 1967 ) suggest that avoidance behavior
may be more durably eliminated
by neutralizing aversive stimuli in pictorial than in imaginal forms.
Seager & Brown (1967) extinguished a severe wind phobia by altering
the fear-provoking capacity of auditory stimuli. In the latter case, tape
recordings of wind noises progressing from mild breezes to blustery
476 DESENSITIZATION THROUGH COUNTERCONDITIONING

storms were carefully adjusted in volume and turbulence to the client's

emotional responses, as monitored physiologically throughout treatment.
Counterconditioning of emotional responses poses no serious problems
as long as physical stimuli can be managed with ease. Even if the actual
objects cannot be introduced into the treatment situation because of their
size and complexity the desensitization can be conducted in naturalistic
settings in which the critical stimuli regularly occur. The procedural
problems become considerably more difficult, however, in cases where
emotional arousal is primarily generated by complex social situations or
by the person's own behavior. It would be of considerable interest in
this connection to experiment with graded pictorial stimuli (Bandura &
Menlove, 1968) or tape-recorded social interaction sequences. Prelimi-
nary evidence (Bandura, Blanchard, & Ritter, 1968) indicates that these
more tangible modes of stimulus presentation, particularly if combined
with modeling cues, can extinguish anxiety more thoroughly than when
subjective threats are cognitively reinstated. These findings suggest that
it would be advantageous to devise graduated film sequences for objects

and social situations which arc common sources of anxiety.

SELF-ADMINISTERED DESENSITIZATION IN NATURALISTIC SITUATIONS

In the treatment strategies discussed thus far the change agent man-
ages the presentation of both the emotion-provoking and the anxiety-
competing stimuli so that responses to the latter cues prevail over the
former. To the extent that a person can be trained to manage skillfully

these two sets of events in his everyday experiences, he can achieve

some degree of self-directed desensitization.
Graded performance tasks have been successfully employed to some
extent in conjunction with svmbolic counterconditioning. Indeed, because
individuals often show insufficient performance follow-
improvements in
ing complete symbolic desensitization, Meyer (1966) has adopted a
procedure in which clients are required to perform behaviors under
optimal real-life circumstances after anxiety has been thoroughly ex-
tinguished to the corresponding imagined situations. The relative superi-
ority of this type of approach is corroborated empirically by Garfield,
Darwin, Singer, & McBreartv (1967). These authors found that avoid-
ance behavior was more extensively reduced by symbolic desensitization
combined with graded performance tasks than by desensitization alone.
A further illustration of how performance extinction can supplement
even counterconditioning involving realistic stimuli is provided by Clark
(1963) in the treatment of the bird phobia described earlier. After a
particular aversive stimulus had been successfully neutralized (e.g., a
single feather, a bag full of feathers, a stuffed bird) the client took the
Neutralization of Threats in Symbolic or Realistic Forms 477

objects home. Similarly, when emotional reactions to stuffed birds were

extinguished, visits were arranged to an aviary and a museum containing
a varied array of stuffed birds. In later stages of treatment, following
desensitization to a live bird, the client visited, with the reassuring sup-
port of her family, a park full of domesticated ducks and other fowl. As
a precaution against possible negative reconditioning by premature ex-
posure or the occurrence of unanticipated threats, the client was in-
structed to retire from the situation or to terminate approach behavior
if it should become emotionally disturbing.
Considering the transfer decrements from imagined to real-life situa-
tions, carefully selected and well-timed performance tasks should be
included as an integral part of desensitization. In this type of treatment
strategy the formal desensitization is principally used to reduce anxiety
reactions sufficiently to enable clients to perform desired responses in
previously feared situations where the major extinction of emotional
responding takes place.
Self-regulated desensitization can serve not only as an important sup-
plement to symbolic desensitization but as a method of treatment in its
own right. Hutchison (1962) successfully treated an electronics tech-
nician with a long history of exhibitionism in 26 sessions by training the
client to perform a set of relaxation responses immediately following the
occurrence of stimuli that typically preceded genital exposure. The first

few interviews were devoted to identifying the essential covariations

between social events and the exhibitionistic responses. In this particular
case, the critical determinants involved criticism from his supervisor or his
wife, and feelings of inadequacy connected with his vocational and per-
sonal achievements. The client received training in relaxation until he
was capable of inducing rapid and deep muscular relaxation. Thus, by
performing the relaxation responses immediately following the occur-
rence of experiences eliciting exposure, he was able to gain full control
over his exhibitionism. A follow-up study conducted one year after the
termination of therapy revealed that genital exposure had been com-
pletely eliminated.
Wolpe (1958)reports considerable success with self-conducted de-
sensitization ofimpotence for males who are sexually responsive, but for
whom the anxiety produced by coital performance gives rise to prema-
ture ejaculations, or an inability to achieve and maintain an erection.
Briefly, the procedure is as follows. The individual first receives training
in progressive relaxation as an aid in counteracting anxieties elicited in
the sexual situation. In addition, to ensure beneficial outcomes he is ad-
vised to engage in sexual behavior only when he has a strong positive
desire to do so, and under the most favorable circumstances. He is then
478 DESENSITIZATION THROUGH COUNTERCONDITIONING

instructed to lie in bed with his partner in a relaxed way, but to confine
the sexual activity initially to caresses and preliminary love play. In
order to avoid any possible reinforcement of anxiety, no attempt at inter-
course is made until sexual inhibitions have been sufficiently reduced. As
deconditioning proceeds, the client is likely to exhibit a gradual increase
in sexual responsiveness, and eventually coitus can be attempted after
adequate erections have been achieved. Additional examples of the use
of relaxation by individuals in the self-management of chronic anxiety
reactions are provided by -Jacobson (1964), and by Haugen, Dixon, &
Dickel (1958).
The extent to which a stable change in behavior can be produced
by deliberate utilization of self-induced responses that compete with
anxiety and supplant it depends upon whether they serve primarily to

reduce distress or to neutralize the crucial eliciting stimuli. In applica-

tions of relaxation by Haugen, Dixon, & Dickel (1958), for example, peo-
ple are simply instructed to practice muscular relaxation, but otherwise
the therapists seem to show little interest in the stimulus determinants of
emotional responses. Thus, a client who achieves sufficient relaxation to
counteract anxiety may gain temporary
but if the eliciting cues
relief,

are absent during this process he will remain vulnerable to the dis-
still

turbing stimuli because their arousing properties have in no way been

altered. Any deconditioning that may result from an exclusively response-
directed program of relaxation will, therefore, depend on the fortuitous
contiguous occurrence of eliciting stimuli and anxiety-competing re-
sponses. On the other hand, in the prescribed desensitization programs
of Hutchison ( 1962 ) and Wolpe ( 1958 ) clients are encouraged to induce
,

deep muscular relaxation or other competing responses while exposed

to the crucial emotion-provoking stimuli. Under these temporal condi-
tions, the motivational properties of stimulus events can be significantly
modified.
If the controlling stimuli for emotional responses have not been iden-
tified, deconditioning effects may
be achieved to some degree pro-
still

vided the competing responses occur in close temporal relationship. The

onset of emotional arousal can serve as a cue signifying the presence of
the enigmatic eliciting events. Provided the individual is able to dis-
criminate changes in his arousal and to induce positive responses of
sufficient strength immediately at the onset of arousal, the self-produced
incompatible responses may coincide with the stimuli eliciting anxiety,
thereby ensuring the temporal prerequisites for reconditioning. By con-
trast, when persons merely engage in relaxation for a given period of

time, usually at the end of the day, the eliciting and neutralizing events
are essentially uncorrelated.
Neutralization of Threats in Symbolic or Realistic Forms 479

In most social situations people obviously cannot lapse into complete

muscular relaxation. This problem, however, does not impose serious
limitations on the utility of relaxation, since a certain degree of stress
reduction can be achieved through the selective relaxation of muscle
groups that are not in use at any given moment Jacobson, 1964; Wolpe,
(

1958). Furthermore, positive imagery and pleasant activities that can

be easily engagedin may serve as even more effective stress reducers.
Under free-responding circumstances, the use of positive events in a
fear-arousing situation may hasten elimination of avoidance responses
because the positive cues enable the individual to expose himself to
threats for longer durations, rather than because of their direct counter-
conditioning effects. Nelson (1966) found that animals willingly entered
a feared situation twice as frequently and remained there approximately
three times as long when food was present in the situation as they did
when was absent. However, animals that were confined in the feared
it

compartment for an equivalent period of time without food showed a

similar amount of fear reduction. The influential role of duration of
exposure on extinction is further corroborated by Proctor (1968) who
presented motion pictures of snakes of either 5 or 20 seconds duration
to snake-phobic subjects in a desensitization paradigm. The longer ex-
posure produced the greater reduction in avoidance behavior. The com-
parative data reported by Nelson conflict with Davison's (1968) finding
that students who received only exposure to aversive stimuli experienced
more distress and less avoidance extinction than subjects who had the
same exposure paired with relaxation. Positive events most likely serve
both as incentives for self-exposure to aversive situations and as fear
reducers.
Self-administered desensitization has several important limitations
as a sole method of treatment. In the first do not
place, individuals often
have sufficient control over the incidence and intensity of aversive stimuli
and the social context in which they occur (Wolpe, 1958). On certain
occasions it may therefore be difficult to marshal competing responses
of sufficient strength to contravene adverse emotional experiences. Sec-
ond, people who exhibit strong avoidance tendencies are inclined to
shun feared situations even though objectively they may be relatively
innocuous. Finally, in cases involving severe and widely generalized in-
hibitions, the extinction of anxiety may have to commence, under con-
trolled conditions, at the symbolic end of the stimulus generalization
continuum. After emotional responses to imagined threats have been
substantially reduced, the individual is in a more favorable position to
attempt previously inhibited behavior in progressively more fearful
situations.
480 DESENSITIZATION THROUGH COUNTERCONDITIONING

Antagonistic Activities in Counterconditioning

In order to achieve counterconditioning, aversive stimuli that ordi-

narily evoke emotional responses are introduced in the presence of in-
compatible activities. Although relaxation has received greatest attention,

a wide variety of operations have been employed for inducing antago-

nistic response tendencies. The earliest application of this learning prin-
ciple (Jones, 1924) relied upon appetizing foods. This particular case
involved a young boy who exhibited severe anxiety responses of unknown
origin toward animals, and a host of furry objects including fur coats,
cotton wool, fur rugs, and feathers. In testing the bov's reactions to varied
fear-provoking stimuli a rabbit elicited the strongest emotional response,
and it was therefore selected as the stimulus to be neutralized.
Counterconditioning was achieved by feeding the boy in the presence
of initially weak, but gradually increasing, anxiety-arousing stimuli.
While he was eating his favorite food, a rabbit in a cage was placed in
the room at a sufficient distance not to arouse emotional reactions more
powerful than the positive consummatorv activities. Each day the caged
rabbit was brought nearer to the table without evoking the customary
anxiety responses, and eventually, released from the cage. During the
final stage of treatment, the boy not onlv displayed no fear at having the

rabbit placed on the feeding table or even in his lap, but spontaneously
verbalized a fondness for the animal which previously had terrified him.
Further objective tests revealed that the anxiety extinction effects had
generalized to all the other furlike objects that he had previously feared.
Some therapists (Bettelheim, 1950), working within a psychodynamic
framework, have made extensive use of appetizing foods in counteract-
ing anxiety responses of emotionally prone children whenever they are
about to be exposed to potentially fear-arousing situations.
That food might serve as an effective anxiety neutralizer gains sup-
port from the suggestive evidence cited earlier (John, 1961) that the
reticular formation possesses reciprocally inhibitory arousal systems that
mediate conditioned defensive and alimentary activities. During ali-
mentary activation, response to aversive stimuli is essentially eliminated.
It is generally assumed that counterconditioning procedures employing

food are limited in applicability to children in whom emotional arousal

cannot be reduced through verbal means. Actually, adults could easily
conduct an entire course of desensitization on their own bv systematically
pairing real, pictorial, or imaginal aversive stimuli with gratifying eating
activities. Such contingencies may, in fact, be more easily self-adminis-
tered than relaxation-based desensitization. Whether this type of ap-
Antagonistic Activities in Counter conditioning 481

proach has counterconditioning capabilities remains to be demonstrated.

It has been shown that relaxation, which is most often employed as the

stress reducer in desensitization of adults, increases tolerance of aversive

stimuli and can facilitate the elimination of avoidance behavior. How-
ever, its mode of influence is not well understood. Because of the frequent
equation of anxiety with autonomic reactivity, the research in this area
has been almost exclusively concerned with the autonomic effects of
been reported that deep muscular relaxation decreases
relaxation. It has
blood pressure (Jacobson, 1939), pulse rate (Jacobson, 1940), and GSR
responsiveness ( Clark, 1963 ) . In a more systematic evaluation of the rela-
tive physiological effectiveness of relaxation,
Grossberg (1965) compared
changes in heart rate, palmar conductance, and forehead muscle tension
in college students who either performed relaxation exercises to tape-
recorded instructions, listened to music they considered relaxing, or were
simply asked to relax as best they could without any external aids. No
were obtained among the three groups. The author
significant differences
suggests, however, that these results be accepted with reservation because
active muscle contraction during the training exercises elevates heart
rate and lowers skin resistance, which confound the autonomic effects of
relaxation.
Paul (1969) conducted a series of studies in which the autonomic
effects of muscular relaxation are compared with those accompanying
hypnotic suggestions of drowsiness and relaxation and a control condition
in which subjects were simply told to relax. A variety of physiological
changes are measured including tonic forearm muscle tension, heart rate,
respiratory rate, skin conductance, and anxiety differential. Both relaxa-
tion training and hypnotic suggestion reduce physiological responsiveness
to stressful imagery, but relaxation achieves somewhat greater decre-
ments.
The above studies demonstrate that relaxation induction procedures
can decrease physiological responsiveness. It has been further shown by
Grings & Uno 1968 ) by means
( , of a "compound stimulus transfer" design,
that the presentation of an aversive stimulus in conjunction with relaxation
reduces the arousal capabilities of the threatening cue. Subjects were
separately trained to respond emotionally to a colored light and to relax
whenever the word "now" was projected on a screen. In subsequent tests
subjects displayed the strongest automonic responses to the colored fear
cue alone, the weakest reponse when the fear and relaxation cues were
presented simultaneously as a compound stimulus, and emotional re-
sponse of intermediate magnitude to a compound stimulus containing the
fear cue and a neutral word cue. Paul ( 1968b ) reports a positive relation-
ship (
r = .50 ) between a composite physiological index of degree of re-
482 DESENSITIZATION THROUGH COUNTERCONDITIONING

laxation and reduction in stress response. However, a tape-recorded relaxa-

tion procedure was less effective than a socially administered one, both in
inducing relaxation and in attenuating arousal to stressful imagery.
A muscular relaxation procedure includes at least three distinct com-
ponents: calming suggestions of tranquillity and relaxation, positive im-
agery, and tensing and relaxing various muscle groups. The effects of
these components need to be studied separately to determine whether
the muscular activity per se is a significant contributor to reductions in
arousal level. It seems unlikely that physiological research will clarify
behavioral counterconditioning effects to anv great extent until a viable
theory is advanced regarding the nature and locus of the mechanisms
which control emotional behavior. Since evidence strongly supports a cen-
tral rather than a peripheral view of anxiety, it would be especially im-
portant to study the effects that relaxation, or any other anxiety-neutral-
izing activity that might be employed in counterconditioning, have upon
central arousal mechanisms.
Lazarus & Abramovitz ( 1962 ) have occasionally relied upon positive
imagery for modifying fearful behavior of children for whom relaxation
was not feasible. This procedure is identical with the standard method of
desensitization except that the graded aversive stimuli are presented in
the context of strong positive ideations. The child is interviewed on his
areas of interest and his idols, usually drawn from television, movies,
fiction, or the child's own imagination. "The child is then asked to close

his eyes and told to imagine a sequence of events which is close enough
to his eveiyday life to be credible, but within which is woven a story
concerning his favorite hero [p. 192]." After a sufficient degree of posi-
tive affect has been created, the therapist introduces into the narrative
the lowest item in the hierarchy and the child is instructed to signal if
he feels afraid, unhappy or uncomfortable. When the child registers
disturbance, the threatening element is immediately withdrawn, and the
positive imagery is further enhanced. This procedure is continued until
the most phobic item has been neutralized. In most cases arousal-reduc-
ing imagery can be presented and controlled more effectively in dis-
crete conditioning trials rather than in the form of a continuing narrative.
Pleasant imagery and mollifying thoughts are often used in this manner
with adults to enhance the tranquilizing effects of relaxation procedures.
No attempts have been made, however, to assess the physiological effects
of positive imagery, or to determine whether it accelerates extinction of
avoidance behavior.
Those who often mediate pleasant experiences or the reduction of
discomfort in others are likely to acquire positive properties; conse-
quently, the mere presence of such an individual will elicit positive affec-
Antagonistic Activities in Counter conditioning 483

tive responses that can serve as anxiety neutralizes. Frequent social con-
tact, even though unaccompanied by nurturant functions, may also
endow others with positive valence (Cairns, 1966; Homans, 1961). That
familiar social stimuli can function as anxiety reducers has been clearly
shown with both humans and infrahuman subjects. Mason (1960) found
that responses indicative of emotional disturbance were exhibited less
frequently to stressful situations by monkeys in the presence of peers
than in the company of adult monkeys ( whom they had rarely seen since
birth ) , other animals, or when they were left alone in the situation. The
influence of familiarity on social stress reduction receives further sup-
port from a study by Kissel (1965) conducted with college students. A
friend's company was found to be more effective in diminishing auto-
nomic arousal to induced failure than that of a stranger, whose presence
had no distress-reducing value.
There is reason to expect from the above laboratory findings that
relationship-induced responses can serve to mitigate emotional arousal
to some extent. Wolpe ( 1958 ) in fact, contends that favorable outcomes
,

achieved by traditional interview methods primarily derive from in-

advertent counterconditioning of anxiety by positive responses evoked in
the client-therapist relationship. This interpretation is consistent with
Shoben's (1949) conceptualization of the treatment process as one in
which symbolically reinstated anxiety is counterconditioned through
association with comfort reactions made by the therapeutic relationship.
Although this type of deconditioning is possible, the outcome data re-
viewed in the introductory chapter suggest that it does not occur with
any degree of consistency. The high dropout rates and frequent dis-
plays of avoidance behavior by clients who continue in treatment sug-
gest that therapists are more likely to arouse anxiety than comfort
reactions. Many of the widely prescribed therapist-role behaviors would,
in fact, be clearly contraindicated if judged primarily in terms of their
comfort-inducing function. Therapists of psychoanalytic persuasion, for
example, strive hard to maintain a high degree of ambiguity on the
assumption that ambiguitv facilitates and intensifies transference re-
sponses. Controlled studies (Bordin, 1958; Dibner, 1958), on the other
hand, demonstrate that the amount of anxiety experienced by a client
varies positively with the ambiguity of the therapist. Thus, while am-
biguity may facilitate generalization of inappropriate response patterns,
it is antithetical to counterconditioning.
The fact that strength of relationship-produced responses cannot be
easily controlled or rapidly increased if necessary to counteract strong
emotional arousal places additional limitations on the extent to which
relationship variables alone can create the requisite conditions for sue-
484 DESENSITIZATION THROUGH COUNTERCONDITIONING

cessful desensitization. Positive relationship-induced responses may thus

serve as an important adjunct to, but not a reliable substitute for, more
powerful anxiety-neutralizing procedures. Even if the necessary compet-
ing comfort reactions were strongly established, desensitization outcomes
would remain unpredictable if the introduction of emotionally disturbing
contents was primarily left to the vagaries of clients, rather than care-
fully regulated by psychotherapists.
Some of the procedures employed in counterconditioning treatments,
such as relaxation and pleasant imagery, for the explicit purpose of
inducing strong comfort reactions, can also enhance the anxiety-reducing
cue value of the therapist. An early hypnosis study conducted by Esta-
brooks ( 1930 ) demonstrated that even a person who, in the experiences
of subjects, had been indirectly associated with relaxation acquired de-
activation properties. During early phases of this experiment, subjects'
level ofautonomic arousal decreased only as hypnosis was induced. How-
ever, after they had been hypnotized a number of times, the mere
presence of the apparatus operator before the induction of hypnosis pro-
duced much the same decrease in arousal level. As would be expected,
this phenomenon did not occur with a subject who had had a negative
experience with the operator sometime prior to the experimental session.
The rate at which emotional behavior is extinguished by therapeutic
agents who vary in their stress-reducing properties has not been sys-
tematically investigated. Informal observations of cases where parents
serve as therapists in eliminating their children's phobic behavior (Eng-
lish, 1929) have suggestive value and are in accordance with experi-
mental findings. A
7-month -old child developed marked fear of a stuffed
cat on the sudden aversive experience. In an effort to extinguish
basis of a
this fear a therapist presented the stuffed animal repeatedly, but each
time the child responded with withdrawal, trembling, and frightened
wails. When the cat was later offered in the presence of both parents,
she accepted it hesitantly but continued to exhibit some apprehensive-
ness. A brief experience during which the child handled the toy while
she was held in her mother's arms effectively eliminated the residual fear
responses; thereafter, the child readily accepted the stuffed animal and
played happily with it. The differential distress shown by the child
to the feared object when the parents were present and absent is similar
to Liddell's ( 1950 ) findings with inf rahuman subjects that the presence
of a mother increases her offspring's tolerance of stressful stimuli. Al-
though the relative efficacy of different persons for mitigating emotional
disturbance was not explored, Bentler (1962) reports a case in which
a mother completely extinguished an aquaphobia in her infant daughter
by reexposing her to progressively larger amounts of water in the con-
Antagonistic Activities in Counter conditioning 485

text of close maternal contact supplemented by a highly prized flotilla

of toys. Most parents similarly function as effective anxiety reducers in

modifying their children's fears of loud noises, heights, darkness, ani-
mals, and other common fear-provoking situations (Jersild & Holmes,
1935).
Pharmacologic agents that decrease emotional arousal have also been
occasionally employed in cases where psychological procedures for in-
ducing competing activities have proved either ineffective or not feasible
for various reasons (Friedman, 1966; Walton & Mather, 1963b). Brady
(1966) has made extensive use of short-acting barbiturates (e.g., metho-
hexitone sodium) in conjunction with relaxation instructions as a quick
means of producing deep muscular relaxation. This method was applied
with notable success in the treatment of severe frigidity in women who
rarely engaged in coitus because it caused them considerable physical
pain, revulsion and anxiety. After they were desensitized to individual-
ized sex-anxiety hierarchies they not only became considerably more
sexually responsive but found intercourse erotically pleasurable. In a
laterpaper Brady ( 1967 ) reaffirms the efficacy of desensitization based
on drug-induced relaxation with a variety of anxiety disorders. Fried-
man ( 1968 ) reports similarly high success rates in the treatment of
impotence by drug-assisted desensitization.
The foregoing results are sufficiently promising to warrant systematic
comparative evaluations of the degree to which, if any, drug-produced
effects facilitate the counterconditioning process. There is some labora-
tory evidence to indicate that the beneficial tranquilizing effects of drugs
may be partially offset by on learning (Cole &
their retarding effects
Gerard, 1959; Mitchell & Costiloe, 1957). Not
Zax, 1959; Schneider &
only can conditioning be impeded but, if results from animal experi-
mentation are applicable to humans, changes induced during a drugged
state may have limited transfer value. Barry, Etheredge, & Miller (1965)
found that varying dosages of amobarbital sodium enabled animals to
resume a food-producing response that was previously inhibited by fear
conditioning, but the reduction of behavioral inhibition failed to trans-
fer to the normal nondrugged state. A study by Sherman (1967) sug-
gests, however, that the transfer decrement might be obviated by a
treatment procedure involving progressive reduction in dosage of the
fear-reducing drug. Amobarbital sodium restored previously inhibited
behavior in animals during the sedated state; however, subjects who
experienced abrupt withdrawal of the drug exhibited a precipitous dec-
rement in performance to the level of the saline control group, whereas
those who continued to receive the drug in progressively smaller amounts
showed a monotonic increase in responsiveness. Apparently, a gradual
486 DESENSITIZATION THROUGH COUNTERCONDITIONING

drug-withdrawal treatment can facilitate permanent extinction of fear-

mediated behavior although, as the author notes, the relative superiority
of this approach cannot be determined without data from a group that
is deconditioned under a constant drug dose for an equivalent period of

time before the drug is abruptly withdrawn.

The question remains as to why organisms that repeatedly perform
feared responses, which are intermittently rewarded during a drugged
state, fail to display some degree of permanent fear extinction. One
interpretation, favored by Barry, Etheredge, & Miller (1965), assumes
that lasting extinction does occur, but transfer of therapeutic effects is

impeded by marked stimulus change from the shift from

resulting
sedated to normal states. Considering that avoidance behavior is ex-
tensively controlled by external stimuli, it seems improbable that changes
in internal stimulation adequately explain why animals may show a
dramatic loss from 200 rewardable responses while under the influence
of the drug to only 3 scattered responses in the same situation under
nondrugged conditions (Sherman, 1967). An alternative interpretation
would involve learning rather than generalization deficits. Drugs, par-
ticularly in higher dosages, may produce not only transient deactivation
but also impairment of learning functions. Behavioral changes which
are primarily chemically induced would not be expected to persist after
pharmacologic recovery. On the other hand, optimal drug dosages that
produce beneficial tranquilizing effects without adversely affecting learn-
ing processes might augment extinction of the anxietv-arousing potential
of aversive stimuli. Even if comparative evaluations showed this to be
the case, pharmacologic aids should be primarily confined to persons
who do not benefit from exclusively psychological procedures. In view
of the unpleasant effects of intravenous injections and the potential dan-
gers of drug dependency with repeated usage, the extinction gains would
have to be substantial to justify frequent use of drugs as adjuncts to
standard counterconditioning procedures.
It should also be noted in passing that persons who routinely con-
sume "tranquilizing" drugs will not necessarily experience progressive
extinction of emotional responses. Achievement of lasting deconditioning
outcomes requires both the presence of a tranquil or positive emotional
state of sufficient strength, and judicious reexposures to crucial anxiety-
evoking stimuli. These learning requisites are rarely obtained in experi-
ences of everyday life. On the contrary, persons are often prematurely
confronted with excessively threatening situations that result in the
reinforcement of avoidant behaviors rather than in their extinction. The
more severely incapacitated cases, on the other hand, are usually too
heavily sedated to be capable of much reconditioning.
Physiological Accompaniments of Emotional Behavior 487

Physiological Accompaniments of Emotional Behavior

Theories of personality and psychotherapy generally differentiate

among types of "impulses" or emotional states as though they represented
distinct forms of physiological arousal. Thus, in one case a person is
assumed to be suffering from "repressed hostile impulses" and is there-
foreencouraged to express verbal or physical aggression designed to
discharge the troublesome hostile affective state. In another case,
"anxiety" may be regarded major emotional condition that presum-
as the
ably reflects a somewhat different form of physiological arousal. If emo-
tional behaviors which are designated as anger, fear, or euphoria were
controlled by separate physiological events, then different tvpes of treat-
ments might be required to extinguish diverse types of emotional be-
havior.
Physiological studies disclose that the varied array of emotions that
people experience phenomenologically are not accompanied bv a cor-
responding diversity in physiological response patterns. In the procedures
commonly used individuals are subjected to fear- or anger-provoking
stimulation during which changes in numerous physiological responses
are simultaneously recorded. Interpretation of these findings is compli-
cated by lack of independent evidence that the two stimuli are of com-
parable aversiveness. It is consequently difficult to determine whether
obtained differences are attributable to dissimilarities in the qualitative
features or in the relative intensities of the aversive stimuli. Moreover,
as Duffy ( 1962 ) has noted, unless it has been shown that dissimilar
stimuli within the same emotional class produce identical patterns of
physiological arousal, the generality of findings yielded by a single fear
stimulus and a single anger stimulus is open to question.
Based on manipulations in which subjects experienced increasing
shock while the experimenter expressed alarm about a dangerous high-
voltage short circuit in the apparatus, and in which they also received
rude sarcastic treatment bv an assistant, Ax (1953) found some subtle
differences in physiological reactions to the fear and anger provocation.
Data reported by Schachter (1957) using analogous manipulations dis-
close essentially similar cardiovascular responsiveness to fear and anger
stimulation, but they both differ significantly from reactions to pain
induced by a cold pressor test. However, on the basis of subjective cate-
gorization of the data the author extracts greater physiological specificity
than the actual findings warrant. It seems unlikely that small differences
in an otherwise identical pattern of physiological reactivity are suffi-

ciently discriminable, if at all, to serve as the cues for differentiating

among different emotional states.
488 DESENSITIZATION THROUGH COUNTERCONDITIONING

Results of both physiological and psychological studies support the

conclusion that a common diffuse state of physiological arousal mediates
diverse forms of emotional behavior and that different emotional states
are identified and discriminated primarily in terms of external stimuli
rather than internal somatic cues. Among the situational cues that help to
label a given state of physiological arousal, the inducing stimulus condi-
tions undoubtedly play an influential role. Thus, for example, visceral
arousal that is generated by threatening stimulation is likely to be inter-
preted as fear or anxiety; arousal produced by obstacles and thwarting
activities of frustrating agents will tend to be experienced as anger; and
arousal resulting from highly pleasurable stimulation will be identified
as joy or euphoria. In a study designed to identify the characteristics of
situations that might serve among emotions
as cues for differentiating
Hunt, Cole, & Reis ( 1958 ) found that students were inclined to rate
environmental events as provoking fear when they were threatening, as
anger when frustrating agents figured prominentlv, and as sorrow when
desired objects were irretrievablv lost.

Even the same inducing operation and its associated physiological

arousal may result in differential emotions depending on the form of
affective modeling cues which serve to define the appropriate emotional
behavior under conditions of ambiguity. According to the theory of
emotion advanced by Schachter ( 1964 ) when a person experiences a
state of physiological arousal and cannot clearly identify its source, the
same emotional condition may be interpreted as anger, euphoria, anxiety,
or some other type of feeling depending upon the nature of external
influences. The interaction between modeling, cognitive, and physio-
logical determinants of emotional state is revealed in an experiment by
Schachter & Singer (1962) which proceeded in the following manner.
One group of college students received injections of epinephrine, a
sympathetic stimulant, and was at the same time correctly informed of
its physical side effects. A second group of subjects was similarly ad-

ministered epinephrine but was uninformed about its side effects, while
other students received a placebo injection of saline solution. Immedi-
ately after the experimental manipulation of physiological arousal, all

subjects were sent to a room where they were exposed to the experi-
menter's confederate, supposedly another subject, who displayed con-
siderable anger and verbal aggression toward the experimental pro-
cedure. Subjects in the epinephrine-uninformed group displayed more
anger than students in either the epinephrine-informed or placebo con-
dition, which did not differ from each other. In another phase of this
experiment, four treatments were employed, the three described above
and one in which subjects were injected with epinephrine and deliber-
ately misinformed concerning its side effects so they had no adequate
Physiological Accompaniments of Emotional Behavior 489

The confederate in this phase behaved

explanation for their aroused state.
in an extraordinarily euphoric manner, for example, flying paper air-
planes, hoola-hooping, and playing basketball with equipment contained
in the room. Subjects who experienced physiological arousal and were
misinformed or uninformed concerning the basis for their reactivity dis-
played a great deal of euphoria, whereas subjects who were equally
aroused but for whom an accurate explanation was available, and the
nonaroused placebo group, were little affected by the behavior of the
confederate.
In a related experiment, Schachter & Wheeler (1962) extended the
range of autonomic arousal by administering either epinephrine, a pla-
cebo saline solution, or chlorpromazine, a sympathetic depressant, to
different groups of subjects. After receiving their injections all subjects
viewed a slapstick comedy film. The epinephrine-injected group showed
a greater amount of amusement, assessed both by self-reports and be-
havioral ratings, than placebo subjects, while the chlorpromazine-in-
jected group was least affected by the comical displays.
Further research conducted by Nisbett & Schachter (1966) showed
that emotional states induced by environmental stimuli are manipulable
to some extent, as was demonstrated with drug-induced arousal. Students
were administered either weak or severe electric shocks after receiving
a placebo pill. Half the subjects within each condition were led to be-
lieve that the side effects accompanying the drug were similar to shock-
produced emotional reactions, whereas the remaining subjects were
correctly informed that shock evokes arousal symptoms such as palpita-
tions and tremors. Students who received weak shock and attributed
their autonomic arousal to the pill tolerated more painful stimulation
and reported less pain than those who interpreted their arousal as due
to shock. However, ascribing arousal to an artificial source had no in-
fluence on pain tolerance when the shocks were severe. The latter find-
ings indicate that arousal states are less susceptible to relabeling when
the controlling stimuli are apparent and powerful.
Taken together, the studies demonstrate that emotional states are
partly a function of the degree of physiological arousal, but that social
and cognitive variables may play a crucial role in determining both the
nature and intensity of the emotions experienced, particularly when
individuals cannot accurately label the source of their aroused condi-
tion. Thus, the same state of physiological arousal can be experienced
as euphoria, anger, or some other type of emotional condition depending
upon defining cognitions and the affective reactions of others to arousal-
inducing situations.
The preceding findings have several important therapeutic implica-
tions. It is not necessary to reduce specific types of physiological arousal
490 DESENSITIZATION THROUGH COUNTERCONDITIONING

in order to modify different forms of affective behavior. To the extent

that counterconditioning procedures can successfully neutralize the
arousal potential of valenced stimulus events, then the method should
be applicable not only problems of anxiety but also to emotions ex-
to
perienced as by some other name. It should
hostility, jealousy, grief, or
also be possible to decrease positively labeled emotions bv this means
if the theory of nonspecific visceral control is valid. Finally, some emo-

tional problems might from mislabeling of feeling states; given

result
this, the person would need to be taught to discriminate accurately the
determinants of his arousal states.
People often experience anxiety arousal without being able to identify
the evocative stimuli. In interpretive therapies such emotional responses
are frequently attributed to hypothetical causes operating at an uncon-
scious level. If emotional arousal can be reduced to some extent by
misattributing the reactions to non-emotional sources, then it is conceiv-
able that neutral stimuli could become invested with fear-arousing prop-
erties if they are erroneously interpreted as the source of anxiety re-
actions.

Summary
In this chapter the principle of counterconditioning has been dis-
cussed in relation to the modification of emotional behavior by neutral-
izing the arousal potential of threatening stimuli. The reconditioning
process is achieved by inducing activities incompatible with emotional
responses in the presence of anxietv-arousing stimuli. This mode of be-
havior change based on the fact that classically conditioned effects can
is

exert mediating control, principally through central mechanisms, over

instrumentallv learned behavior.
Three sets of variables, some necessary and others merely facilita-
tive,have been singled out as especially relevant to counterconditioning
processes. First, one must select an anxiety-neutralizing stimulus capable
of eliciting competing events of sufficient strength to predominate over
responses characteristically evoked by emotion-arousing cues. In practice,
muscular relaxation, appetizing foods, positive imagery, relationship-
induced affective responses, and pharmacological agents that decrease
emotional arousal have been employed as anxiety neutralizers. These
types of competing activities have been shown to increase tolerance of
aversive stimuli, accelerate the rate of desensitization, and generally fa-

cilitate extinction of severe avoidance behavior.

The second class of variables pertains to emotion-provoking events.

The issues here concern accurate identification of the stimulus deter-

minants of emotional behavior, and the forms and intensities in which
Summary 491

arousal stimuli are neutralized. Counterconditioning treatments are typ-

ically directed toward symbolic representations of actual threats because,
in the latter form, they can be easily controlled and the method can be
applied to an almost infinite variety of anxiety sources. However, in cases
where symbolic stimuli lack arousal capacity or requisite conditions for
achieving desensitization cannot be adequately induced through verbal
means, actual threats are presented in physical, pictorial, or auditory
modes.
In most applications of the counterconditioning principle, the aver-
sive events are initially administered in attenuated forms so that the
emotional responses to be counteracted are relatively weak and can
therefore be readily extinguished. As weak items lose their anxiety-
producing value, progressively more threatening stimuli, which presum-
ably have been weakened through generalization of extinction effects,
are gradually introduced. Although stimulus graduation is not a neces-
sary condition for achieving desensitization, it permits greater control
over the change process and produces minimal anxiety elicitation as
compared to approaches involving repeated confrontation with stimuli
having high threat value.
The third variable pertains to the temporal prerequisites for the
occurrence of counterconditioning outcomes. Both the anxiety-neutral-
izing and the aversive events must be contiguously associated. The
mechanism of conditioning is conceived as including both mediational
and association processes.
Numerous laboratory investigations and controlled individual studies
utilizing the symbolic desensitization paradigm with relaxation show
this approach to be effective for extinguishing the emotional arousal
capacity of aversive stimuli and for reducing avoidance behavior. More-
over, generalized improvements in behavioral functioning often result
from induced changes. However, more refined analyses of
specifically
degree of transfer of extinction effects from symbolic stimuli to real-life
situations disclose some generalization decrement. Not only is the num-
ber of approach responses that persons can perform behaviorally gen-
erally less than the number that have been successfully neutralized in
symbolic form, but restored approach behavior is usually accompanied
by moderate anxiety when first performed. This transfer decrement partly
reflects the inherent limitations of working exclusively with symbolic
counterparts which rarely encompass the full range of aversive elements
contained in real-life situations. Counterconditioning alone is also likely
to effect limited behavioral improvements in conditions where anxious
responding is a realistic consequence of behavioral deficits, or where the
rewards associated with restored functioning are outweighed by the
advantages of remaining behaviorally incapacitated.
492 DESENSITIZATION THROUGH COUNTERCONDITIONING

Symbolic desensitization might primarily serve to decrease the

anxiety-producing value of aversive stimuli below the threshold for
activating avoidance behavior, thus enabling persons to engage, though
somewhat anxiously, in new approach behavior. This provides the op-
portunity for further extinction of residual anxiety and avoidance be-
havior in naturalistic settings. Also, in cases involving severe anxiety
disorders, deconditioning may have to commence with symbolic stimuli
that are far enough removed from real threats to evoke less intense re-
actions. After emotional responses to imaginal stimuli have been sub-
stantially reduced, the individual is better prepared for encounters with
the corresponding real-life situations. Emotional behavior can be most
thoroughly extinguished by supplementing symbolic desensitization with
graded performance tasks, positive reinforcement of desired approach
behavior, and appropriate modeling procedures. It is possible that the
efficacy of desensitization itself canbe further enhanced, and transfer
problems reduced, by the use of more tangible threats along with more
powerful competing activities.
The behavioral changes achieved bv desensitization operations can-
not be attributed solely to the conditioning of competing responses to
fear-arousing stimuli through repetitive paired association. Other mech-
anisms are also operative. Some reduction in avoidance behavior un-
doubtedly results from selection of explicit behavioral objectives and
positive reinforcement of progressive advances toward the chosen goal.
The resultant changes also partly reflect the influence of exposure to
aversive stimuli independently of the effects of the explicitly programmed
competing activities. For this reason, the multiform procedure combin-
ing graduated exposure, anxiety-neutralizing events, and positive rein-
forcement is generally more effective in extinguishing avoidance behavior
than the separate components alone.
Although counterconditioning methods have been primarily em-
ployed to extinguish "anxiety," evidence that diverse emotional behaviors
are mediated by a common diffuse state of physiological arousal indi-
cates that this approach may be applicable to other emotional condi-
tions as well. Furthermore, counterconditioning procedures can be
utilized not only to neutralize aversive events but also to attach negative
valences to positive stimuli which are potentially harmful. The principles
governing these aversive forms of counterconditioning are discussed in
the following chapter.

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CHAPTER 8 Aversive
Counterconditioning

In the preceding chapter it was shown how threatening events

can be neutralized by associating them with positive experiences. Some
forms of psychological dysfunctions reflect a converse problem, resulting
from the fact that certain activities or objects, which are potentially
harmful or socially prohibited, have acquired unusually potent reinforce-
ing value for the individual. These deviations generally take the form of
addiction to various drugs or intoxicants, or marked sexual attraction to
inappropriate stimuli as manifested in transvestism, fetishism, exhibi-
tionism, homosexuality, and other aberrant sexual expressions. Attempts
are sometimes made such behavior by developing conditioned
to control
aversion to the positively reinforcing stimuli by pairing them contigu-
ously with negative experiences. A variety of methods has been de-
vised for producing conditioned aversion. These have been applied
mainly to persons who wish to gain control over intractable behavior
which can produce serious long-term consequences for them.
The classical conditioning approach to the elimination of aberrant
response patterns should be distinguished from aversive instrumental
conditioning, discussed in Chapter 5, in which response tendencies are
inhibited by having punishing consequences follow the occurrence of
the behavior. In the classical conditioning paradigm, aversive events
are stimulus correlated for the purpose of altering the valence of stimuli,
whereas in the instrumental procedure, negative outcomes are response
correlated so as to inhibit the performance of deviant responses. Pun-
ishment that is made contingent on the appearance of undesired be-
havior may temporarily suppress its occurrence, but if the positive stimuli
that evoked the behavior are absent during the punishment they are
502 AVERSIVE COUNTERCONDITIONING

likely to retain their attractiveness. Although the classical and the in-
strumental approaches can be easily differentiated operationally, the lat-

ter procedure often produces some classical conditioning effects. When

a given behavior is punished, stimuli arising from the punished response
itself, and environmental events present at the time, may become en-
dowed with negative properties. Thus, for example, in treatment pro-
grams in which aversive stimulation is presented to alcoholics in the
act of drinking alcoholic beverages, and to transvestites while they are
putting on ladies' undergarments, the designation of the procedure is

somewhat arbitrary.

Development of Conditioned Aversion and Avoidance

The basic process involved in the development of conditioned aver-
sion and avoidance has been discussed in some detail in Chapter 5.

Briefly, an object or an activity that is repeatedly associated with aver-

sive experiences acquires some of the negative properties of the aversive
stimulus. As long as the negatively conditioned stimuli retain their aver-
sive effects, the individual will be inclined to avoid them.
In most laboratory investigations of conditioned aversion, formerly
neutral stimuli are endowed with negative properties. Of greater rele-
vance to issues of behavioral change, however, are studies showing that
aversion can be established to strongly preferred stimuli ( Garcia, Kimel-
dorf, & Masserman, 1943; Peacock & Watson, 1964). Al-
Koelling, 1955;
though the phenomenon has been demonstrated, there has been no
systematic research to determine the optimal conditions for creating per-
sistent aversions.

UNCONDITIONED STIMULI IN AVERSIVE COUNTERCONDITIONING

Until recent years, most applications of aversive counterconditioning
have utilized nauseous pharmacological agents to create the requisite
negative conditions. The specific procedures followed in this form of
therapy are well illustrated by Lavin, Thorpe, Barker, Blakemore, &
Conway ( 1961 ) in their treatment of a male transvestite. The client, a

22-year-old married truck driver, frequently dressed in women's clothing,

a pattern of behavior that began in early childhood when he occasionally
wore his sister's dresses. After puberty he experienced orgasms when
dressed in female apparel, and masturbated to the accompaniment of
transvestite fantasies. Cross-sex dressing had become a powerful sexual
reinforcer, but the fear of serious legal consequences, since he occasion-
ally appeared in public in feminine attire, and pressures from his wife,
led the client to seek treatment.
This case illustrates careful application of several of the require-
Development of Conditioned Aversion and Avoidance 503

ments for successful counterconditioning. In selecting the conditioned

stimulus it is necessary to determine what specific aspects of the stimulus
events are most positively valenced. In this particular case, for example,
it was noted that the texture or feel of women's clothing produced no

sexual excitement, but viewing himself in a mirror dressed in feminine

apparel was highly stimulating. It was decided, therefore, to employ a
series of colored slides of the client in various stages of female dress,
ranging from panties only to fully clothed, in order to condition nega-
tive reactions to all aspects of cross-sex dressing. In addition, a tape re-
cording of the client describing the transvestite behavior depicted (e.g.,

"Ihave now put on and am wearing a pair of ladies' panties") accom-

panied each slide. The auditory cues were primarily designed to aug-
ment the conditioned stimulus, to ensure the presence of the stimulus
when the client might not be attending to the pictorial displays, and to
facilitate generalization effects.
Intramuscular injections of apomorphine hydrochloride served as the
unconditioned stimulus, although occasionally emetine hydrochloride
was substituted after the client's tolerance to apomorphine had increased.
As soon as he reported feeling nauseous, a slide was projected onto the
screen and simultaneously the tape recorder was started; the pictorial
and auditory stimuli were promptly terminated after emesis. The client
received 66 emetic trials, one every two hours, for six days. As aversive
conditioning progressed, transvestism assumed sufficiently unpleasant
properties that the client no longer derived any erotic satisfaction from
cross-sex dressing. A series of follow-up interviews with both the client
and his wife revealed complete cessation of transvestism, and continued
indifference to clothes that had previously excited him.
Later sections of this chapter review numerous studies in which
emetic drugs, usually apomorphine or emetine, have been employed to
create aversion. There are, however, many disadvantages in pharmaco-
logical procedures that place certain limitations on their utility and
applicability.
Stimuli contiguous with the onset of aversive experiences gradually
acquire negative properties, whereas stimuli associated with reduction
or termination of discomfort may actually acquire a palliative function
(Mowrer, 1960). One must, therefore, exercise precise control over the
timing and sequence of stimulus variables in order to ensure that posi-
tively reinforcing events are accruing negative, rather than discomfort-
relief, value. The optimal temporal requirements are difficult to achieve

with the use of biochemical agents because of the gradual, and often
unpredictable, onset of physiological reactions. As a consequence, the
presentation of conditioned stimuli is typically delayed until some time

after persons begin to exhibit nauseous reactions or other signs of mount-

504 AVERSIVE COUNTERCONDITIONING

ing discomfort. In addition to the temporal issue, it has been shown

(Fromer & Berkowitz, 1964) that aversive stimuli with a gradual onset
produce significantly weaker aversion responses than those with a sud-
den onset. Since there is no effective way of terminating abruptly drug-
induced aversive states, the nauseous reactions are needlessly prolonged.
Moreover, because they also tend to subside gradually, the therapist
lacks reliable criteria for timing the withdrawal of conditioned stimuli
to prevent their association -with the reduction of discomfort.
Apart from the problems created by inadequate control over the rate
of onset, duration, intensity, and recovery time of drug activity, unde-
sirable physiological side-effects are sometimes produced, requiring the
administration of additional medicinals. Some of the actions of drugs
that accompany, but are unrelated to, the effects for which they are
being administered may, of course, impair the conditioning process
itself. Central depressants have been shown to decrease conditioning,
1

whereas stimulant drugs facilitate the formation of conditioned responses

(Franks, 1966). Emetine is, therefore, generally favored because apomor-
phine has sedative effects. When the latter drug is employed, stimulants
such as dexamphetomine sulphate (Lavin et al., 1961) or caffeine
(Freund, 1960) are usually administered to counteract its depressant
action. The ideal pharmacological agent would be a stimulant drug that
produces brief and readily controllable emetic responses and is free of
adverse side effects. Although emetine is more suitable since it does not
1

possess depressant properties, its frequent administration may result in

cardiovascular sequelae (Barker, Thorpe', Blakemore, Lavin, & Conway,
1961). Finally, the use of pharmacological methods necessitates hospi-
talization and imposes certain limitations on the manner in which the
conditioned stimuli can be presented.
Aversive electrical stimulation has been increasingly employed in
aversion treatment, mainly because it permits precise control over con-
ditioning variables (Rachman, 1965). Aversive shocks can be presented
and terminated abruptly; they can be easily varied in duration and in-
tensity; also, except in the case of cardiac disorders, they produce no
adverse physiological effects. This increased control makes it possible
not only to arrange optimal temporal relationships between conditioned
and unconditioned stimuli but also to conduct numerous aversion trials
within the same session. The treatment can even be self-administered
in the naturalistic situations in which the problem behavior is evoked.
During conditioning trials moderately severe shocks are administered
either to the forearm ( Kushner & Sandler, 1966 ) or to the feet Blake- (

more, Thorpe, Barker, Conway, & Lavin, 1963) of the client in con-
junction with the elicitors of the undesired behavior. A number of shock
Development of Conditioned Aversion and Avoidance 505

trials are presented during each of the sessions, which are scheduled
over a period of a week or two.
It is sometimes difficult to introduce into treatment the stimulus
events for deviant behavior in the forms and intensities in which they are
ordinarily encountered in everydav situations. Consequently, aversion
reactions may be conditioned to verbal, pictorial, or imaginal representa-
tions of the actual stimulus objects, with the hope that sufficient trans-
fer will occur to inhibit approach tendencies to the real-life counterparts.
McGuire & Vallance (1964) have devised a portable electric stimulation
apparatus that makes it possible for the client, after some preliminary
training, to carry out his own counterconditioning in naturalistic settings
whenever he feels impelled to perform the deviant behavior.
The utilization of the self-conditioning procedure is illustrated in
the treatment of a 25-year-old graduate student who had been mastur-
bating to fetishistic fantasies with considerable guilt about three times
a day for 10 years. The began aversion therapy after having
client
participated in conventional treatment, which had reduced neither his
fetishisticmasturbatory behavior nor the attendant guilt feelings. In the
initial phase of treatment, the client was asked to produce the usual
fantasies and to signal bv raising his hand when the fetish objects were
clearly visualized, at which time a shock was administered. At later
sessions, when the client was unable to conjure up the sexually provoca-
tive fantasies, photographs of persons attired in the fetishistic clothing
were employed as the conditioned stimuli. In addition, he was en-
couraged to use the conditioning apparatus at home whenever he felt
instigated to masturbate. The fetishistic fantasies were completely elim-
inated within a short period, the incidence of masturbatory behavior
was substantially reduced, and on the occasions when the client did
masturbate, for the first time in his life this behavior was accompanied
by heterosexual fantasies. The authors report favorable outcomes in the
use of the self-conditioning procedure for reducing obsessional rumina-
tions, obesity, smoking, and alcoholism. Similarly, Wolpe (1965) was
able to achieve temporary control over drug-addictive behavior in a
physician by having him administer to himself a shock from a portable
apparatus whenever craving for the drug appeared.
In the methods discussed thus far, aversive counterconditioning is

accomplished through repeated association of pharmacologically created

nausea or unpleasant electrical stimulation. A much more interesting
approach, that has numerous advantages over noxious physical stimuli,
involves symbolically induced aversion. In this form of countercondi-
tioning, positively valenced events are repeatedly paired with strong
feelings of nausea and emetic responses which are verbally induced.
506 AVERSIVE COUNTERCONDITIONING

The negative verbal contents are usually drawn from disagreeable, pain-
ful, or revolting experiences that have previously arisen either in con-
nection with the pleasurable objects and activities or in other contexts.
As in the other paradigms, the conditioning trials are continued until
the formerly positive stimuli alone elicit feelings of revulsion.
Miller (1959, 1963) provides several illustrations of the successful
use of symbolic aversion methods in modifying homosexuality and al-
coholism. Most homosexuals have experienced specific disgust reactions,
at one time or another, in intimate relationships with certain male part-
ners. During treatment hypnotically revivified nauseous reactions, which
the client has experienced in previous homosexual contacts, are repeat-
edly associated with visualized homosexual practices involving current
male companions. One client, for example, had felt strong revulsion to
the smell and taste of urine and stale perspiration while performing
fellatio with an uncircumcised male. These past experiences were, there-
fore, employed as aversive verbal stimuli in the treatment. The author
reports that after several sessions the client became nauseated by his
male lovers and eventually broke off all homosexual contacts.
Avoidance responses established in this manner are typically re-
inforced by supplementary conditioning trials at monthly intervals for
the first year. In addition to attaching negative valence to homoerotic
responses and love objects, symbolic counterconditioning procedures are
also employed to enhance the positive reinforcing value of heterosexual
stimuli. In the preceding illustrative case the client participated con-
currently in a number which certain feminine attributes
of sessions in
that he found desirable were hypnotically augmented and associated
with women. Although on the few occasions when the client had for-
merly dated girls he had selected masculine types, following the counter-
conditioning treatment he was attracted to, and dated, women possess-
ing notable feminine attributes.
In aversion treatment of alcoholism, which
is reviewed later, verbally

revivified hangover experiences are contiguously associated with the

smell and taste of alcoholic beverages. Essentially similar symbolic aver-
sion techniques have been applied on a limited basis to the treatment
of obesity (Cautela, 1966), alcoholism (Abrams, 1964; Anant, 1967),
addictions, and sexual perversions ( Kolvin, 1967 ) The major advantages
.

of this technique are that it has no adverse side effects, it is highly adapt-
able, and people can be taught to administer the treatment to themselves
in the naturalistic situations in which their problem behavior is apt to
arise.
Development of Conditioned Aversion and Avoidance 507

PROCESS GOVERNING CONDITIONED AVERSION

The manner which aversive procedures are employed and the dura-
in
bility of resultant aversions are likely tobe influenced to a considerable
extent by one's conceptualization of the mechanism through which aver-
sive stimulation produces its effects. Most traditional accounts of counter-
conditioning convey the impression that, as a result of paired association
with negative experiences, formerly positive stimuli directly and auto-
matically evoke aversive reactions. The temporal relationship between
stimulus events is therefore considered to be a major determinant of the
strength and durability of conditioned aversions. As will be shown in the
following chapter, this nonmediational view is at variance with certain
experimental findings. It has been demonstrated, for example, that both
conditioned autonomic and avoidance responses promptly disappear when
shock electrodes are removed or subjects are merely informed that a
given stimulus will no longer be accompanied by painful stimulation.
Moreover, conditioned emotional responses can be established cognitively
without the immediate support of external aversive stimulation. Since in
aversion treatments the negative experiences associated with pleasurable
activities are arbitrarily rather than intrinsically related to the behavior,
individuals can readilv discriminate that in everyday life the same activi-
ties be unaccompanied by unpleasant consequences but
will not only
may, in fact, prove highly rewarding. Given cognitive control over con-
ditioning effects and markedly different situational contingencies, one
might expect conditioned aversions to be readily extinguishable and to
show little transfer from treatment to real-life situations. On the other
hand, there is considerable evidence that established revulsions usually
generalize across situations and that they can be relatively long lasting.
An alternative view of counterconditioning effects is that external
stimuli acquire the capacity to activate a self-stimulation mechanism
which, in turn, produces the aversive reactions. Thus, for example, after
a person has repeatedly experienced strong nausea in conjunction with
alcoholic beverages the mere sight or smell of alcohol leads him to re-
vivify his past nauseous experiences. In this conceptualization aversive
reactions are, in large part, self-induced rather than automatically evoked.
If the aversive self-stimulation established through counterconditioning
is potent enough, a personmay be able to counteract the disposition to
engage in deviant behavior by symbolically reinstating nauseous reac-
tions whenever the need arises.
The manner in which counterconditioning is applied will differ in
several important respects depending upon whether it is viewed as a form
of automatic immunization or as a technique of self-control. In the former
case, methods are favored that permit precise management and split-sec-
508 AVERSIVE COUNTERCONDITIONING

ond timing of stimulus events. In the latter approach, on the other hand,
the procedures are designed to develop strong and readily recreatable
aversions to certain objects or activities. For this purpose, verbal and
pharmacological agents may regenerate more natural and symbolically
reproducible aversions than electric shock, the physiological manifesta-
tions of which are relatively subtle. An optimal procedure might initially
involve the combined use of verbal induction and either emetic drugs or
shocks to create vivid aversive reactions. In subsequent sessions, how-
ever, verbal stimuli alone would be used as the conditioning agent al-
though they might be paired occasionally with emetic drugs or shock to
preserve their potency. After an aversive self-stimulation system had been
established in sufficient strength, individuals would be instructed to avoid
engaging in the deviant behavior by deliberately inducing nauseous re-
actions. When conditioned aversions are regarded as self-induced reac-
tions rather than as automatic products of stimulus pairings, the change
agent assumes greater responsibility for arranging positive incentives to
ensure that individuals utilize this potentially effective means of self-
control. In a comprehensive treatment program this practice would, of
course, be used in conjunction with other methods of self-control, as well
as procedures designed to reduce the instigation to engage in the deviant
behavior.
When some persons who have undergone aversive treatment later re-
outcomes are often attributed to defi-
vert to their deviant activities these
ciencies inherent in the conditioning procedure itself. Faulty timing and
sequencing of stimulus events, selection of inadequate aversive agents,
and conditionability deficits are typically invoked as explanatory factors.
Similarly, recommendations for enhancing the efficacy of this method
single out conditioning variables. These include the use of intermittent
schedules of reinforcement, continuation of the trials for a sufficient pe-
riod to ensure overlearning, and inclusion of booster treatments at peri-
odic intervals after the formal program has been discontinued ( Eysenck,
1963). There exists suggestive evidence (Voegtlin, Lemere, Broz, &
O'Hollaren, 1942) that conditioned aversion and avoidance can be suc-
cessfully maintained through periodic reconditioning trials. Portable de-
vices that permit self-administration of aversive stimuli and the judicious
use of symbolically generated consequences would undoubtedly also re-
duce the disposition to engage However, there is lit-
in deviant behavior.
tle reason to expect that intermittent reinforcement would increase the
durability of aversive reactions. Partial reinforcement retards the rate of
extinctionby reducing discriminability of the occasions when customary
consequences will or will not occur (Spence, 1966). Administration of re-
inforcements in an unpredictable manner may produce stable conditioned
responses during treatment, but the conditions of reinforcement prevail-
Development of Conditioned Aversion and Avoidance 509

ing in treatment situations and in everyday life differ markedly and are
easily distinguishable. The situational change would ordinarily result in
a rapid decrement in responsiveness unless cognitive functions were uti-

lized in a self-reinforcing system that could endure long after condition-

ing influences were discontinued.
Induced aversions are generally less durable than approach behavior
that has been restored by eliminating inhibitions and anxieties. This dif-
ferential reversion rate is most likely attributable to the different main-
taining contingencies associated with these two forms of behavior. In the
case of behavioral conditions involving fear, removal of avoidance re-
sponses enables people to engage in many potentially rewarding activities
which, in turn, further strengthen the newly established behavior. Initial
behavioral changes are thus apt to set in motion a positive reciprocal in-
fluence process. By contrast, sexual, appetitive, and addictive behavior
produce powerful immediate reinforcement, whereas any aversive con-
sequences that do occur are typically long delayed. These types of con-
trolling conditions result in behavior that is not only refractory to change
but also easily reinstatable because of the positive reinforcing effects that
accompany its recurrence. Aversion treatments attempt to forestall the
recurrence of deviant behavior by developing immediate aversive reac-
evoke the behavior.
tions to the stimuli that typically
The major value is that they provide a means
of aversion procedures
of achieving control over injurious behavior for a period of time during
which alternative, and more rewarding, modes of response can be estab-
lished and strengthened. Used by itself, this method may bring about
only temporary suppression of deviant tendencies. The answer to the re-
duction of reversion rates, therefore, lies in the scope of the treatment
program employed rather than in variables operating within the condi-
tioning paradigm. This issue will be discussed more fully in the context
of the modification of specific behavior disorders.

STIMULUS EVENTS IN AVERSION TREATMENTS

The consequences of selecting inappropriate stimulus events for aver-
sion treatment are considerably more serious than those for desensitiza-
tion approaches. In the latter case, deconditioning an irrelevant stimulus
merely prolongs treatment, whereas the former procedures can establish
needless aversions and avoidant behaviors. Although the risks associated
with aversive counterconditioning may be greater, in the types of behav-
ior disorders that are customarily treated by these methods the rewarding
objects are easily identified (e.g., alcoholic beverages, specific drugs, fe-
tishistic objects, cross-sex apparel, homoerotic stimuli). The major deci-
sions, therefore, concern the variety of conditioned stimuli and the forms
in which they will be presented.
510 AVERSIVE COUNTERCONDITIONING

If inadequately applied, aversive procedures can have generalized in-

hibitory effects. Control of generalization is therefore an important issue.
A change agent is faced with the task of presenting aversive stimuli suf-
ficiently intense to arouse strong aversion, while simultaneously confining
generalization to a particular class of activities. To achieve this dual ob-
jective, the stimulus events must be distinctive and carefully delimited.
Applications of aversion therapy to the modification of homosexuality will
serve to illustrate the latter point. Typically, pictures of nude, semi-nude,
and fully clothed males are contiguously associated with unpleasant
experiences. In these instances, aversions are established to a general
stimulus class so that some undesired generalization may occur, but the
most relevant stimulus events (i.e., specific homosexual practices) are
not included in the conditioning process. Hence, there is no assurance
that the negative conditioning will necessarily transfer extensively from
pictures of men to specific homosexual responses toward them. Clearly,
stronger but circumscribed transfer would be achieved if the stimulus
presentations contained all aspects of homosexuality that the treatment is

designed to eliminate.
The problem of negative transfer can be even more complicated in
cases where the existing behavior is entirely satisfactory, but the evoking
stimuli are so bizarre and disturbing to others that attempts are made to
nullify their arousal capabilities through aversive procedures. This situa-
tion arises most frequently in the treatment of heterosexual fetishists and
transvestites who, in order to obtain an erection and to engage in sexual
intercourse, must wear their wives' clothing (Blakemore et al., 1963),
rubberized mackintoshes (Oswald, 1962), be kicked with rubber boots
or high-heeled shoes (Marks, Rachman, & Gelder, 1965). Such unique
modes of erotic arousal create serious marital conflicts, even conditioning
revulsions in sexual partners. A similar problem exists when efforts are
made to negate the sex-arousing value of self-flagellating, fetishistic, and
sadistic fantasies that arouse masturbatory or heterosexual behavior with-
out suppressing the behavior itself. It is of considerable import that in
many of the published cases more appropriate sexual fantasies emerge as
the arousal potential of bizarre elicitors is eliminated, and desirable sexual
behavior is either maintained at its original level or further enhanced
(Blakemore et al., 1963; Cooper, 1963; Kushner & Sandler, 1966; Marks &
Gelder, 1967;McGuire & Vallance, 1964; Oswald, 1962; Raymond, 1956).
The and extent of generalization of aversion effects can be
direction
regulated through a program of differential reinforcement in which un-
desirable events are repeatedly associated with negative experiences,
while the desired ones are paired with either rewarding or no adverse con-
sequences. Verbal labeling can also be utilized effectively both to delimit
what is being negatively conditioned and to enhance the most relevant
Sexual Deviance 511

elements in the stimulus complex. To continue with the above example,

pictorial stimuli could be supplemented with descriptions of the client,
recorded in his voice, engaging in anal and interfemoral intercourse, oral-
genital relations, mutual manual masturbation, and other forms of erotic
responsiveness to males.
It seems reasonable to expect that, as in the case of desensitization,
the more inclusive the representation of relevant stimuli in the aversion
program, and the more similar they are to real-life events, the more potent
will be the counterconditioning outcomes. This practice is generally fol-
lowed in the treatment of fetishism, transvestism, and the various addic-
tions because, in each of these disorders, the attractive stimuli can be
easily included in the treatment procedures. To further enhance the visual
stimuli, tape recordings are sometimes played in which clients describe
themselves engaging in the deviant behavior, or they are instructed to
develop mental imagery involving the undesired activities. In aversion
treatment of compulsive gambling behavior, Barker & Miller (1966) and
Goorney ( 1968 ) employed newspaper items, sound broadcasts, televised
presentations, and actual gambling devices that ordinarily served as the
evocative stimuli.
There is some evidence based on the modification of alcoholism (Le-
mere & Voegtlin, 1940; Quinn & Henbest, 1967) and sexual deviations
(Marks & Gelder, 1967) that when a single stimulus is employed in aver-
sive counterconditioning, the resultant aversion reactions may be highly
specific to that particular stimulus class. Consequently, a wide sampling
of stimuli is employed when, as in the treatment of alcoholism, a general-
ized aversion is required.

Sexual Deviance

There exists considerable cross-cultural evidence (Ford & Beach, 1951)

that in societies in which homosexuality and transvestism are socially dis-
approved, sexual inversions rarely occur; by contrast, cross-sex dressing,
anal intercourse, oral-genital contacts, and mutual masturbation are regu-
larly practiced by most members of societies in which such behavior is
fully sanctioned and positively reinforced. Whereas in our own society
inflicting pain on a sexual partner is regarded as a sadistic perversion, in
other cultures pain cues, resulting from aggression that normally accom-
panies coital activities, serve as powerful sexual reinforcers (Holmberg,
1946; Malinowski, 1929). There are also wide cultural variations in the
physical attributes and adornments that become culturally conditioned
sexual stimuli. What has been endowed with erotic arousal properties in
—
one society corpulence, skinniness, upright hemispherical breasts or long
pendulous ones, shiny white teeth or black pointed ones, deformed ears,
512 AVERSIVE COUNTERCONDITIONING

nose, or lips, broad pelvis and wide hips or narrow pelvis and slim hips,
light or dark skin color —may be neutral or highly repulsive to members of
another social group. These cross-cultural data showing the range of pre-
ferred sexual reinforcers are striking testimony of the influential role of
social learning in the development of sexual behavior that may be judged
deviant by some social group.
Although our society imposes severe social and legal prohibitions
against some forms of behavior that are believed to have sexual implica-
tions, certain members may nevertheless experience unusual reinforce-
ment and modeling influences serving to promote and to maintain deviant
sexual behavior. A major obstacle to the understanding of human sexual
deviance is that, for ethical reasons, experimentation designed to identify
the conditions governing sexual phenomena cannot be conducted. Conse-
quently, the search for the relevant controlling variables must rely on
naturalistic studies. A number of clinical 'reports have been published
containing data that illustrate the social learning processes whereby cul-
turally inappropriate stimuli and responses acquire unusually strong sex-
ual reinforcing properties.
Litin, Giffin, & Johnson ( 1956 ) describe the development of transvest-
ism in a young boy who continually dressed up in his mother's clothes,
including cosmetics and jewelry, exhibited almost complete feminine-role
behavior, and even adopted a girl's name which his mother suggested.

Cross-sex dressing appeared following an episode in which the

first

mother, in response to her son's comment that she looked pretty in her
new shoes, hugged him and offered him her old shoes. He wore these
shoes daily, eliciting considerable maternal approbation. The mother con-
tinued to encourage and reward sex-inappropriate behavior with demon-
strations of affection and approval, while the grandmother and neighbors
supplemented the mother's training by supplying the boy
in transvestism
with generous quantities of old shoes, hats, purses, bridal veils, and other

female apparel. When the boy's inverted behavior met with disapproval
from other persons, the mother attempted some discrimination training
by informing her son, "You must never dress like that in front of company,
only in front of the family." In a study of the mothers and wives of 32
transvestites, Stoller (1967) found that the subjects were initiated into
transvestism by being dressed in girls' clothing or highly rewarded when-
ever they dressed themselves in feminine apparel. The transvestite be-
havior was further elaborated by mothers and wives who devoted many
hours to teaching the subjects how to dress in feminine clothing, how to
apply cosmetics, and how to behave as women.
Litin, Giffin, & Johnson (1956) depict how a mother actively condi-
tioned voyeuristic behavior in her sonby sleeping with him, and by being
physically and verbally seductive while appearing nude before him. When
 .

Sexual Deviance 513

the boy was six years old, the mother had shown him her vagina a num-
ber of times, but she later discontinued her physically seductive behavior
after the son suggested that they engage in sexual intercourse. The boy's
strongly established voyeuristic behavior had generalized to the maid and
other persons; eventually he was apprehended by the police while peep-
ing from a ladder into neighborhood bedrooms.
Generalization of strongly reinforced homoerotic responses is illus-

whose mother would lie in bed

trated in the case of a 16-year-old girl
with her, encouraging mutual stroking of the breasts, and other erotic
play. The mother sought psychiatric advice when she became jealous of
her daughter's homosexual attachment to a teacher. Homosexual patterns
of behavior are not always fostered in such a blatant fashion. In many
instances, the father serves as an inadequate model for masculine behav-
ior and the distribution of social power within the family constellation
promotes cross-sex modeling ( Whitener & Nikelly, 1964 ) Sex-appropriate .

behavior is nonrewarded and, when the parents encourage peer relation-

ships, homosexual associates tend to be favored (Fleck, 1960; Kolb &
Johnson, 1955).
A mother's active reinforcement of deviant sexual behavior is again
evident in a 17-year-old exhibitionist described by Giffin, Johnson, & Litin
( 1954 ) . The mother often showered with her son, engaged in endless sex
discussions, enjoyed exhibiting herself to him, and delighted at looking at
the boy's nude body, particularly his "beautiful masculine endowment."
A dress fetish was similarly conditioned in a ten-year-old boy by°a mother
who responded demonstratively whenever the son stroked her dress or
complimented women on their attire ( Johnson, 1953 )

That erotic experiences can endow formerly neutral stimuli with sexual
arousal properties is supported by results of an interesting study by Rach-
man (1966), designed to create a mild fetish under laboratory conditions.
After a photograph of women's boots was repeatedly associated with
slides of sexually stimulating nude females, subjects exhibited sexual
arousal ( as measured by penile volume changes ) to the boots alone, and
generalized the conditioned sexual responses to other types of black shoes.
In accord with these findings, McGuire, Carlisle,& Young (1965) report
that deviant sexuality often develops through masturbatory conditioning
in which aberrant sexual fantasies are endowed with strong erotic value
through repeated association with pleasurable experiences from mastur-
bation. The details of their interpretive scheme, and its therapeutic impli-
cations, are discussed more fully later.
The foregoing cases represent a small sample of those documented in
the reports to which reference has been made. Three social learning vari-
ables emerge from these naturalistic studies as important determinants of
deviant sexual behavior. The first consideration involves the degree to
514 AVERSIVE COUNTERCONDITIONING

which parents themselves model homosexual, transvestite, fetishistic, or

exhibitionistic behavioral patterns in either blatant or attenuated forms.
Second, once the responses are elicited, either by direct instigation or
modeling, they are endowed with exaggerated sexual significance and
strong positive valence. This may derive from repeated association with
relatively intense, affectionate demonstrativeness, with close physical in-
timacy, or from masturbatory conditioning. Indeed, for many of the chil-
dren, inappropriate cues and responses had acquired strong positive va-
lence, and in some cases had resulted in well-developed patterns of sexual
behavior long before the onset of pubescence. Third, parents tend to
maintain children's deviant sexual responses on an instrumental basis over
a long period, both through direct and vicarious reinforcement.
Sexual responses that have acquired strong positive valence can also
become self-reinforcing through their stress-reducing capabilities. The
diminution of aversive emotional states by engaging in sexual behavior
may reflect the operation of two somewhat different psychological proc-
esses. First, sexual activities can produce sufficiently intense pleasurable
experiences to contravene feelings of apprehension or frustration. Sec-
ondly, performance of sexual behavior also changes the stimulus situation
by temporarily directing the person's attention away from stress-provok-
ing events. This attentional shift may in itself produce substantial anxiety
relief.

Evidence of the stress-reducing function of deviant sexual responses is

disclosed in a report published by Cooper ( 1963 ) The client character-
.

istically experienced heightened sexual arousal in response to tactual sen-

sations from silken garments. Dressed in women's clothing, he would fre-
quently masturbate to the point of orgasm by straddling a chair. Although
initially the transvestite behavior served a sexual function, it later ac-
quired, through an accidental contingency, generalized anxiety-terminat-
ing value. One day while experiencing considerable apprehension regard-
ing a scholastic examination, the client discovered that cross-sex dressing
resulted in an abrupt diminution in anxiety. Thereafter, a wide range of
stressful situations elicited transvestite behavior. Several other authors
(Bond & Hutchison, 1964; Comi, 1954) have noted a similar behavioral
sequence in which mounting tension is abruptly reduced by the execution
of deviant sexual responses. These observational data would seem to in-
dicate that deviant sexual behavior of an unusually persistent character
is probably maintained not only by sexual reinforcement but also by its

tension-reducing effects.
In applications of aversive counterconditioning to sexual disorders, at-

tempts are made to reverse the sexual arousal value of appropriate and
inappropriate stimuli through differential conditioning procedures.
Sexual Deviance 515

EFFICACY OF CONDITIONED AVERSION APPROACHES

WITH SEXUAL DISORDERS
There have been no controlled studies of the relative efficacy of aver-
sion treatments for modifying deviant sexual behavior, but numerous case
studies are availablewhich have some evidential value. These reported
outcomes, while very interesting, must be accepted with reservation for
several reasons. Many of the treatment programs involve a combination
of methods, which makes it difficult to assess the relative contribution of
the aversion procedures. Moreover, changes in sexual response patterns
are typically measured in terms of clients' self-reports, although substan-
tiating information is obtained from spouses and close associates when-
ever possible.
Several objective tests of sexual arousal have been developed which
are beginning to be employed to measure progress during treatment, the
degree of alteration in sexual arousal patterns at the completion of ther-
apy, and their stability over time. One of the laboratory procedures, orig-
inally devised by Freund (1963; Freund, Sedlacek, & Knob, 1965), meas-
ures, by means of a transducer, penile volume changes in response to
pictures of males and females of varying ages, or to other erotic objects.
Several validational studies (Freund, 1967a, b; McConaghy, 1967) have
shown that this measure can successfully differentiate between persons
with homo- or hetero-erotic preferences for adults, adolescents, and chil-
dren.
Another quantitative index of the attraction value of visual stimuli is

provided in terms of changes in pupillary size. In this technique (Hess,

1968) a subject's eye is filmed at the rate of two frames per second while
he views test items alternated with control patterns equated for bright-
ness. The film is later magnified and the diameter of the pupil size is
measured manually frame by frame or electronically with photocells. It
has been shown that pupillary dilation occurs in response to stimuli that
have high interest value, whereas negatively valenced stimuli produced
pupillary constriction. Findings of a pilot study (Hess, Seltzer, & Shlien,
1965), in which pupillary responses of homosexuals and heterosexuals
were measured to pictures of males and females, verify that this proce-
dure can differentiate sexual preferences with considerable accuracy. All
heterosexuals displayed larger responses to pictures of women than to
pictures of men, whereas homosexuals showed the reverse pattern. The
authors suggest that standard sets of pictorial stimuli could be devised to
provide reliable measures of sexual attraction. However, aversive condi-
tioning may be difficult to evaluate through pupillometric measures be-
cause pupillary responses could represent either sexual interest or anxiety
516 AVERSIVE COUNTERCONDITIONING

arousal conditioned to sexual stimuli. This interpretive problem does not

arise with respect to erectile responses.
Although it is customary to question the value of case studies, because
sexual deviations are exceedingly resistant to change, favorable results
cannot be casually dismissed. Deviant sexual patterns rarely change "spon-
taneously," and they have proved equally unresponsive to the planned
efforts of psychotherapists employing varied strategies (Curran & Parr,
1957; Woodward, The
fact that most persons receiving aversion
1958).
therapy have undergone traditional forms of treatment for extended peri-
ods of time without any degree of success makes it unlikely that the be-
havioral modifications accompanying aversive counterconditioning are at-
tributable to interpersonal and cognitive variables that are prominent in
conversational therapies. The nature and brevity of the treatment further
limit the opportunity for social factors to exert a strong influence on the
outcomes.
The individual case method can be effectively employed to assess
the functional relationship between treatment variables and behavioral
changes. It was previously shown how intrasubject replication furnishes
a means of evaluating the role of reinforcement variables in behavioral
processes. In their detailed measurement of changes accompanying aver-
sive counterconditioning, Marks & Gelder (1967; Gelder & Marks, 1969)
provide an excellent model that other researchers would do well to emu-
late. A large number of transvestites and fetishists received aversion treat-

ment in which shocks were administered while they carried out their devi-
ant behavior or imagined themselves performing the same activities. In
each case, the process of treatment was studied by recording changes in
sexual arousal through the use of a penis transducer. The clients' attitudes

to the objects of their deviation, to sexual intercourse, to themselves, and

to the therapist were also measured by the evaluative scales of the seman-
In addition, progressive changes in the latency of sexual
tic differential.

images and accompanying erectile responses were recorded. Different

aspects of the clients' deviant behavior were modified one at a time to
determine whether the observed changes reflected the operation of gen-
eral factors present in any treatment or the specific counterconditioning
procedures.
Figure 8-1 depicts changes during the course of aversion therapy in
both the frequency and latency of erectile responses of a transvestite to
different feminine garments that he regularly used in cross-dressing. At
the beginning of treatment he was highly aroused sexually by all of the
items. The aversive procedures were then applied to one garment at a
time beginning with panties. After approximately 20 trials the client no
longer showed any erectile responses to panties, but he responded with
undiminished sexual excitement to the remaining articles of clothing. As
Sexual Deviance 517

200 Erection latency at end of each aversion session

180
160
140

120
100

80
60
40
Panties
20 Pyjamas Skirt and blouse
i i '
I I I I I

012 3456 12 01 2345 1 2

Sessions
60

40
E
20 CO

hn kQn
Erections after one minute exposure to stimulus

Figure 8-1. Changes in the frequency and latency of erectile responses of a

were included serially in
transvestite to different feminine garments as they
aversive counterconditioning. Marks & Gelder, 1967.

the other items were serially counterconditioned they also lost their sex-
arousing capacity. It is important to note, however, that the client main-
tained high sexual responsiveness to appropriate heterosexual stimuli after
deviant sources of sexual arousal were eliminated. The specific sequence
of behavioral changes obtained by repeated application of aversive stimu-
lation provides convincing demonstrations that the alteration in sexual
arousal was indeed produced by the conditioning procedure. In the cases
studied, sexual reconditioning was followed by corresponding elimination
of deviant sexual desires and activities.
The findings of the above study not only attest to the efficacy of aver-
sive conditioning, but they also help to clarify the stimulus function of
symbolic processes and their modification. Prior to treatment, imagery of
the deviant behavior elicited strong erectile responses. As these fantasies
were repeatedly associated with unpleasant experiences the latency of the
images increased until eventually they could be produced only with con-
siderable difficulty ( Figure 8-1 ) Moreover, the erections which originally
.

accompanied the fantasies diminished gradually with successive trials and

eventually disappeared even when the images could be produced. The
selective effect of the treatment is again shown in the fact that clients
were able to conjure up arousing heterosexual imagery with ease.
518 AVERSIVE COUNTERCONDITIONING

The pattern of attitudinal change corresponded closely to the modifi-

cations achieved in sexual arousal. Sexually attractive garments were se-
lectively devalued as the specific objectswere negatively conditioned,
whereas self-attitudes, and general attitudes toward sexual intercourse
and toward therapists, changed little during treatment. The consistent
selective changes achieved in erectile responses, in the arousal properties
of deviant fantasies, in attitudes, and in overt sexual behavior, would in-
dicate that in cases where aversive conditioning is adequately applied the
outcomes are at least partly attributable to the conditioning experiences.
Findings of controlled individual studies by Barlow, Leitenberg, &
Agras ( 1969 ) in which a pedophile and a homosexual were treated with
,

symbolic aversion in a replicative design, lend further support to the

contribution of contiguous experiences to observed changes. The clients'
autonomic and evaluative responses to deviant sexual stimuli and the
frequency of their sexual urges were measured during periods when sexu-
ally arousing imagery was successively paired with verbally induced
nausea or occurred alone Deviant sexual arousal declined sharply during
1
.

the aversive conditioning phase, it gradually increased when sexually

arousing scenes were repeatedly presented without any aversive experi-
ences, and it was virtually eliminated after the aversive contingency was
reinstated.
Aversion therapy has produced many marked and enduring changes
in transvestism ( Blakemore et al., 1963; Cooper, 1963; Glynn & Harper,
1961; Lavin et al., 1961; Marks & Gelder, 1967; Morgenstern, Pearce, &
Rees, 1965); in fetishism (Kushner & Sandler, 1966; Marks, Rachman,
& Gelder, 1965; McGuire & Vallance, 1964; Oswald, 1962; Raymond, 1956;
Raymond & O'Keeffe, 1965; Thorpe, Schmidt, Brown, & Castell, 1964);
in exhibitionism (Evans, 1967; Kushner & Sandler, 1966); and in homo-
sexuality (Costello, 1963; Freund, 1960; James, 1962; Max, 1935; Miller,
1963; Thorpe 1964 ) In other eases involving similar disorders, aver-
et al., .

sion therapy effected temporary cessations or reductions in deviant sexual

behavior (Clark, 1963a, b; Freund, 1960; Oswald, 1962; Thorpe, Schmidt,
& Castell, 1963). Still other clientshave derived little benefit from this

mode of treatment (Freund, 1960; Solyom & Miller, 1965).

It is difficult to identify the factors responsible for the differential ef-
ficacy of aversion methods because the cases involve variations in motiva-
tion for change, in aversive stimuli, in the extent to which heterosexual
attractions are established, in length of follow-up, in degree and duration
of homosexual behavior, and in the extent to which favorable conditions
for heterosexual activities exist within the environment. The influential
role ofsome of these factors is revealed in studies containing a sufficient
number of cases to compare outcome rates. Freund (1960), for example,
found that for homosexuals who were self-referred, aversion therapy pro-
Sexual Deviance 519

duced enduring heterosexual orientations in approximately 45 percent of

the cases, and 16 percent adopted predominantly heterosexual patterns
for at least some period of time. By contrast, only 6 percent of those who
were coerced into treatment by legal authorities and relatives became
exclusively heterosexual. These data, in accord with the self-arousal inter-
pretation of counterconditioning presented earlier, show how motivational
factors may counteract the effects that customarily result from aversive
stimulus pairing. Reluctant individuals can impede the development of
aversions by failing to attend to the attractive stimuli and to produce
accompanying imagery. They can give fake signals at crucial points in
the procedure where the therapist usually depends upon guidance from
the client. They could even reverse the direction of counterconditioning
by conjuring up heterosexual imagery while undergoing unpleasant stim-
ulation. Finally, if aversion reactions were established, they could be eas-
ily extinguished by clients' repeatedly engaging in homosexual activities.

Whatever the reasons might be, the differential outcomes associated with
the desire to modify one's sexual orientation reaffirm the view that unless
individuals are committed to the selected objectives, their behavior is
likely to nullify the effects of change programs.
McGuire, Carlisle, & Young (1965) advance the interesting thesis that
in some cases deviant sexual preferences are developed through mastur-
batory conditioning. According to the authors, three factors usually figure
prominently in this form of sexual learning. First, as a result of unpleasant
heterosexual experiences or feelings of physical and social inadequacy, the
person comes to believe that he cannot achieve a normal sex life. Second,
the person usually has a sexual experience that is not sufficient by itself

to establish deviant erotic preferences, but it stimulates a fantasy for later

masturbation. The major conditioning is assumed to occur in relation to
symbolic representations. As the person repeatedly masturbates to the
fantasy as his exclusive sexual outlet, the pleasurable experiences from
masturbation endow the deviant fantasy with increasing erotic value.
This is same mechanism through which Rachman (1966)
essentially the
conditioned sexual excitement to shoes except that instead of seductive
photographs, the arousing events are more powerful orgasmic experiences.
The authors document their thesis with extensive case data obtained
from a large number of sexual deviants. In one of these cases, for example,
a 17-year-old male was highly sexually stimulated at seeing a girl dressed
only in her underwear. Thereafter, he frequently masturbated to the men-
tal imagery of the scantily clad girl. Eventually the memory of the girl's

characteristics faded, but advertisements and shop-window displays of

women's undergarments continued to serve as strong masturbatory fan-
tasies. After a period of several years the erotic potential of these fe-
tishistic objects had increased to the point where he no longer showed
520 AVERSIVE COUNTERCONDITIONING

interest in girls, but rather derived his sexual stimulation almost entirely
from women's underwear which he bought or stole. This helps to explain
how outlandish fantasies can acquire powerful sexual valence through
contiguous association with masturbatory experiences (Marks, Rachman,
& Gelder, 1965; Mees, 1966) and, once established, why they are so re-
fractory to extinction. Other case reports by McGuire and his associates
depict a similar process in which aberrant sexual fantasies are selectively
reinforced; they eventually become able to provoke corresponding homo-
sexual, exhibitionistic,and Voyeuristic behavior. The prevalence of mas-
turbatory conditioning in aberrant sexuality is further shown by Evans
( 1968 ) who found that among a large group of sexual deviates 79 percent
,

used deviant fantasy while masturbating.

In instances where erotic fantasies serve as evocative stimuli for
deviant sexual activities, control over the behavior may be achieved by
eliminating either the aberrant fantasies or their arousal properties.
Evans (1967) reports surprisingly high success in the treatment of seven
exhibitionists by aversive conditioning of imaginal stimulus events. In
this procedure, clients are presented with image-producing phrases that
depict either normal heterosexual behavior or exhibitionistic activities.
Vivid imagery of the deviant behavior is associated with shock, which
the client can terminate by changing to a slide describing normal sexual
responses. Of the seven exhibitionists who finished treatment, five

no longer experience any urge to expose themselves and have completely

ceased exhibitionistic behavior, while the remaining two have reduced
their frequency of genital exposure from a pre-therapy high of 28 per
month to 2 episodes per month. In a subsequent study Evans (1968)
found that the speed of aversive conditioning was related to the content
of masturbatory fantasies. Exhibitionists who utilized normal masturba-
tory fantasies discontinued exposure behavior within about 4 weeks of
treatment, whereas those who engaged in exhibitionistic masturbatory
fantasies required approximately 24 weeks before they ceased the deviant
activities. Results obtained by Mees (1966) in modifying a sadistic

fantasy suggest that aberrant erotic fantasies of long standing can be

most effectively eliminated if, in addition to aversive conditioning, normal
heterosexual imagery is induced and reinforced.

DIFFERENTIAL CONDITIONING OF SEXUAL RESPONSIVENESS

In many of the cases cited above, therapists have tried not only to
create aversions to inappropriate objects, but also to develop attraction to
heterosexual stimuli. A variety of differential conditioning techniques
has been employed for this purpose. In one such approach, which is

probably minimally effective, homosexuals, in addition to receiving

aversive conditioning trials, are shown pictures of nude or scantily clad
Sexual Deviance 521

females several hours after administration of testosterone ( Freund, 1960;

James, 1962). Gonadal hormones may increase sexual arousal, but they
do not determine its quality or direction. Indeed, attempts to treat
homosexuals by administrations of large amounts of androgen simply
increased their homoerotic desires and behavior (Ford & Beach, 1951;
Perloff, 1965). It remains a question, therefore, whether any positive
conditioning is achieved by this method.
Masturbatory conditioning has also been employed as a means of
increasing the erotic arousal properties of heterosexual stimuli. As part
of an aversion-relief method, Thorpe, Schmidt, Brown, & Castell (1964)
had clients masturbate to photographs of attractive females and utilize
these images in masturbatory fantasies. In addition, shock stimulation
was presented in conjunction with phrases describing deviant sexual
whereas descriptions of heterosexual behavior occurred with
practices,
shock termination. The authors report that heterosexual fantasies of high
arousal value can be strongly established in this manner. In an earlier
study, Thorpe, Schmidt, & Castell (1963) found that masturbatory con-
ditioning alone did not eliminate homosexual fantasies, but a method
combining positive and negative conditioning eventually replaced homo-
erotic fantasies with heterosexual ones. In the absence of comparative
data of the sexual responses of individuals receiving either aversive
trials alone or the combined procedure, there is no way of determining
the degree to which the positive component facilitated the change in
sexual interest.
A differential conditioning strategy was similarly employed by
Davison ( 1968 ) in treating a college student whose sexual activities were

confined to masturbation evoked by fantasies of inflicting injury on

women. The client was instructed initially to utilize the sadistic fantasy
to induce sexual arousal but to masturbate while looking at pictures of
captivating belles from Playboy magazine. After conventional sexual
stimuli had acquired sex-arousing value the sadistic fantasy was paired
with nauseous imagery and supplanted by normal masturbatory fan-
tasies. Consistent with the interpretation of counterconditioning as
partly reflecting self-control processes, the client was later able to
reinstate and to eliminate sadistic fantasies at will through masturbatory
conditioning with sadistic or normal erotic fantasies.
In a third approach a differential conditioning procedure is employed
in which presentations of pictures of nude males are accompanied by
electric shock, while looking at projected pictures of nude females is
reinforced by termination of continuous electrical stimulation (Solyom
& Miller, 1965). This particular method is predicated on the assumption
that stimuli associated with aversion relief will acquire positive properties.
It is unclear, however, how pain-relief experiences can endow related
522 AVERSIVE COUNTERCONDITIONING

stimuli with sex arousal value. Nevertheless, Solyom and Miller found,
during treatment of a group of homosexuals, that plethysmograph re-
sponses to female pictures became progressively greater, while responses
to male pictures remained essentially unchanged. This suggests that the
differential conditioning produced a change from predominantly homo-
sexual to bisexual responsiveness. However, these findings are difficult to
interpret because, as the authors themselves acknowledge, their plethys-
mograph measure does not differentiate between sexual and anxiety
arousal. Erotic arousal can be most validly assessed in terms of penile
erectile responses as demonstrated by Bancroft, Jones, & Pullan (1966),
who measured changes in several object preferences in a pedophile
throughout the course of aversion therapy. This measure makes it possi-
ble to conduct systematic investigations of the relative efficacy of different
conditioning procedures for altering erotic preferences. It also provides
an objective criterion for determining the duration of treatment, thus
safeguarding against either premature termination, or needless pro-
longation, of the conditioning sessions.
It should be emphasized here that conditioning of sexual attraction
to appropriate objects constitutes only part of a broader treatment ob-
jective. Persons who have engaged in deviant sexual practices for a
long time must develop not only heterosexual attraction but also intricate
patterns of heterosexual behavior. This may require, among other things,
acquisition of new speech patterns, dress styles, courtship behaviors,
modes of sexual stimulation that are closely associated with heterosexual
coitus, and many other aspects of sex-role behavior. To the extent that
such behavioral changes enable persons to engage in rewarding intimate
interactions, the resultant positive experiences will exert a powerful in-
fluence on the further development of heterosexual feelings and pref-
erences.

CONDITIONING OF AVERSIONS AND REINFORCEMENT

OF ALTERNATIVE MODES OF BEHAVIOR
The existence of desirable modes of sexual behavior is probably a
major determinant of the durability of changes induced through aversive
counterconditioning. Enduring modification of sexual deviance through
aversion methods will therefore be governed, not so much by the magni-
tude of negative properties conditioned to previously attractive stimuli,
but rather by the availability of alternative means of securing sexual
gratification. Because the sexual taboos that prevail in the culture extend
to treatment situations as well, it is exceedingly difficult to produce and
to reinforce desired patterns of sexual behavior. Consequently, treat-
ment interventions are mainly directed toward reducing the incidence of
Sexual Deviance 523

deviant behavior, but the appearance and continued maintenance of

heterosexual responses are left to fortuitous circumstances.
Treatment by aversion methods exclusively generally achieves favor-
able outcomes with persons who display bisexual responsiveness or
engage in heterosexual intercourse, even through they rely upon fetish-
istic objects for erotic arousal. On the other hand, aversion treatment
alone appears to be much less successful in cases where the deviant
behavior constitutes the sole means of obtaining sexual gratification.
is well illustrated by Oswald's (1962) treatment
This differential efficacy
oftwo rubberized-clothing fetishists. In both cases aversion to rubberized
garments was successfully established, but one of the clients subsequently
reverted to the deviant behavior.
In the first case, rubberized garments primarily served as arousal
stimuli for exclusively heterosexual patterns of behavior. The client was
prompted to seek treatment because of marital conflicts arising from
his wife's refusal to wear her rubberized mackintosh in bed. The erotic
arousal properties of the fetishistic stimuli were rapidly eliminated through
a series of counterconditioning trials, in each of which the client donned
a mackintosh while experiencing apomorphine-induced nausea supple-
mented by a recorded tape suggesting similar reactions. A 21-month
post-therapy evaluation is summarized as follows: "He feels quite indif-
ferent to rubberized clothes and finds it hard to believe how he could
ever have had this interest in them. His career has prospered extremely
well by his own efforts and talents, and his wife confirms that they are
normal and happy in their general and sexual life [p. 201]."
The second case, a 32-year-old military recruit, experienced height-
ened sexual arousal whenever he tied himself up tightly in black shiny
rubber. This fetishistic behavior apparently originated in an early experi-
ence in which a group of boys seized the client, tied a groundsheet over
his head and masturbated him. "Since then he had made a practice of
tying himself up with rubber groundsheets, a rubber hood and ropes. He
came for treatment partly because he feared he might encompass his
own death, as he had recently had difficulty in releasing himself [p. 201]."
Except for one occasion when the client had sexual intercourse at a
specialized brothel equipped with rubber strait-jackets, hoods, thongs,
and rubber zip suits, masturbation served as his predominant form of
sexual behavior. The counterconditioning sessions proceeded along lines
similar to the case cited above. Following the administration of apomor-
phine, the client tied himself up in groundsheets or donned a frogman's
suit. In addition, on two successive days he received several injections

of testosterone and was furnished with books featuring photographs of

females.
524 AVERSIVE COUNTERCONDITIONING

apparent from follow-up reports that rubberized garments had

It is
temporarily lost their erotic value, but the reinstatement of fetishistic
behavior would be expected from the limited scope of the treatment,
aside from the fact that the deviant behavior was instrumental in
eventually gaining the client a military discharge.

He tried out his rubber articles a week after leaving hospital, found they
held no interest for him and discarded them. He went out to dances and
other social events for thefirst time in years. After 6 months he relapsed

and a further 4 months later made known his deviation to the Service
authorities and was invalided. He told me at that time that he intended
to live in London where there were others who shared his interests. He
had been back to the brothel which, he pointed out, advertises in a well-
known week-end publication available at any bookstall, under the guise
of a rubber-clothing store. He had formed a friendship with a male homo-
sexual (but not had sexual relations with him), whom he had first noticed
wearing a black, shiny, rubber mackintosh in Hyde Park one fine summer's
evening [p. 202].

The conditioning of aversion to inappropriate sexual stimuli can

assist in promoting heterosexual behavior provided these alternative re-
sponses already exist in the client's repertoire, and sufficient positive rein-
forcement is available in everyday situations to maintain them. The
latter conditions were clearly present in the first case reviewed, but the
second client exhibited onlv a weakly developed heterosexual repertoire,
which evidently was further extinguished during the period following
treatment when he became more active socially.
The mere absence of heterosexual behavior in itself does not necessar-
ily indicate a behavioral deficit. A person may have developed some

capability and desire for culturally approved forms of sexuality, but

these tendencies are strongly inhibited because of heterosexual anxieties.
It is therefore important to distinguish between developmental deficits
and inhibitory effects in devising supplemental treatment programs to
aversion therapy. The inclusion of anxiety extinction procedures is

particularly important in modifying deviant sexual behavior that is, in

part, maintained by fear of heterosexual involvements. Cooper (1963)
reports a case of this type that illustrates the combined use of aversive
therapy and self-directed desensitization in the treatment of a 25-year-old
pharmacist whose central problems featured transvestism and impotence.
The discussion of the necessity for supplemental programs has dealt
thus far with conditions in which heterosexual repertoires are either
minimal or strongly inhibited. The scope of the interventions may also
need to be extended when changes in behavior cannot be readily achieved
Modification of Symbolic Activities 525

and sustained due to inadequate sexual reinforcement. This problem is

revealed in the treatment of a transvestite reported by Glynn & Harper
(1961). After a series of aversion trials in which the client experienced
apomorphine-induced nausea while attired in women's clothes, he exhib-
ited revulsion at the sight of the female clothing, he no longer felt any
desire to wear it, and he declined a request to do so. While aversive
counterconditioning successfully eliminated the transvestite behavior, the
client's marital relationship provided absolutely no sexual gratifications.
Although he had been married for four years, the marriage had never
been consummated, due largely to his wife's frigidity. The wife's marked
sexual inhibitions were therefore treated by the standard desensitization
procedure with considerable success, as evidenced by the fact that "she
is now pregnant and the marriage is happily stabilized." A seven-month

follow-up study disclosed no transvestism nor any desire on the client's

part to engage in cross-sex dressing. Had the treatment in this case been
confined to negative conditioning of transvestite responses, it is highly
probable that any attempted heterosexual behavior would have been
rapidly extinguished and transvestism might have regained its sexually
rewarding function.
When deviant sexual behavior is less strongly established, it may be

possible to dispense with aversive counterconditioning by substituting a

treatment program based on extinction of heterosexual anxieties coupled
with positive reinforcement of desired alternative behaviors. Existing
sociosexual repertoires can in this way be further developed and
strengthened until eventually they become more rewarding than the
deviant tendencies. It will be recalled from clinical studies reviewed
earlier ( Bond & Hutchison, 1964; Stevenson & Wolpe, 1960 ) that success-
ful outcomes were, in fact, achieved with exhibitionists and homosexuals
treated by desensitization methods alone. These findings suggest the need
for systematic comparative studies of the relative efficacy of aversive
counterconditioning, desensitization, and reinforcement procedures, uti-
lized singly or in combination, with persons exhibiting varying disposi-
tions for sexually deviant behavior.

Modification of Symbolic Activities

Although aversive counterconditioning has been most extensively

employed in the treatment of alcoholism and sexual deviations, a number
of investigators have also attempted to eliminate unusually persistent
ruminations by this method. Perturbing fantasies containing sexual,
aggressive, and other elements have proved exceedingly refractory to
change. Because of their limited accessibility, these types of ideational
phenomena are not readily amenable to experimental investigation. As
526 AVERSIVE COUNTERCONDITIONING

SO

70
\
60

I 50 Insight

Shocked responses
Nonshocked responses

40 No insight

e 30

20 -

10

Trial

Figure 8-2. Percentage of first-trial responses repeated on succeeding trials as a

function of punishment. Eriksen & Kuethe, 1956.

a consequence, the conditions governing the occurrence and persistence

of emotionally disturbing thoughts remain obscure. There exists some
research evidence (Eriksen & Kuethe, 1956) to suggest, however, that
thoughts can be brought under control by applying aversive contingen-
cies. In this particular experiment, students were instructed to produce
and their associations to five of these words
associations to fifteen words,
were followed by shock. Associations that were accompanied by the
aversive experience declined rapidly, while the frequency of nonpunished
associations remained unchanged over succeeding trials (Figure 8-2).
The decrement in associations occurred whether or not subjects were
aware of the punishment contingency.
It is, of course, easier to eliminate relatively neutral ideations than the
highly valenced forms appearing in treatment. Wolpe (1958) reports
varying degrees of success in removing obsessional ruminations by as-
sociating their occurrence with electric shock. Employing essentially the
same procedure, McGuire & Vallance (1964) successfully treated a 29-
year-old teacher who was plagued by intrusive thoughts concerning his
wife's fidelity, dating back to an ambiguous remark originally made by
his mother. Although he realized that these thoughts had no basis in
Modification of Symbolic Activities 527

reality, nevertheless this knowledge was of little avail in controlling

the obsessional ruminations. In treatment, shocks were contiguously
associated with thoughts about his mother making the uncomplimentary
remark and its implications. During the second and third sessions, the
client controlled the timing and intensity of shock administration and,
thereafter, he continued the conditioning process at home with a portable
apparatus. Within a relatively brief time the obsessional ruminations
were eliminated, a change that was accompanied by a general diminution
of anxiety.
The elimination of disturbing thoughts in the course of aversion
therapy is best revealed by Marks, Rachman, & Gelder (1965), who

demonstrated that with successive aversive trials the latency of perverted

thoughts increased until eventually they could not be produced at all. In
the previously reviewed studies involving more extensive measurement
of changes Marks & Gelder (1967) found that during reduction of
deviant sexual fantasies, erotic arousal accompanying the imagery also
diminished progressively. In approximately half the cases, however,
aversive conditioning reduced the arousal potential of deviant sexual
fantasies, but it did not eliminate the mental imagery. The reasons for
At this point
the differential susceptibility to inhibition are not apparent.
worth noting that aversion therapy provides an excellent opportunity
it is

for studying the extent to which thought processes are amenable to

reinforcement control. It also furnishes a means of investigating symbolic
control of overt behavior.
In a number of studies, strongly established behavior has been en-
duringly eliminated by aversive conditioning of symbolic events alone.
Evans (1968) and Thorpe and his associates (1964), for example,
modified sexual disorders by endowing verbal and imaginal representa-
tions of the deviant activities with negative qualities
through association
with shock. Agras (1967) also successfully applied the symbolic condi-
tioning paradigm to aggressively destructive behavior in a chronic schiz-
ophrenic, who had to be physically restrained because of uncontrollable
tendencies to smash any glass in sight. The client participated in a series
of sessions in which he was asked to visualize himself breaking glass,
whereupon he was administered a painful electric shock. As the treat-
ment progressed the latency of the destructive imagery increased and
eventually he lost all urge to smash glass. A follow-up study revealed
that, except for one minor incident, the destructive behavior never ap-
peared again.
Imaginal counterconditioning may be of greatest value in modifying
disorders in which symbolic events possessing high arousal potential
exert substantial control over behavior. If the internal elicitors are
eliminated the related actions should decrease in frequency. Some in-
528 AVERSIVE COUNTERC CONDITIONING

vestigators have assumed, however, that symbolic stimuli can be sub-

stituted for real events without sacrificing effectiveness. If this assumption
were then the method would have wide applicability, since any
valid,
event, no matter how complex, can be easily visualized. On the basis of
generalization principles one would expect actual stimuli to produce
better results than imagined ones.

OTHER ADDICTIVE BEHAVIORS

Another behavioral problem to which aversive forms of treatment
have been applied is cigarette addiction. Preliminary case studies report
relatively high abstinence rates accompanying treatments in which the
act of smoking is contiguously paired with aversive electrical stimulation
(McGuire & Vallance, 1964), drug-induced nausea (Ravmond, 1964), or
a disagreeable mixture of smoke and hot air (Wilde, 1964). These
favorable outcomes contrast with those of Koenig & Masters (1965),
who compared changes in smoking behavior in groups of students who
received either desensitization, aversive counterconditioning, or supportive
counseling. Very few of their subjects discontinued the habit, and degree
of reduction in smoking was found to be unrelated to the type of treat-
ment administered.
In an experimental study emploving appropriate controls, Stollak
(1968) had little success in modifying obesity by pairing descriptions of
fattening foods with shock stimulation. It would appear from the endur-
ing weight reductions obtained through self-management of contingencies
by Harris ( 1969 and Stuart ( 1967 that a broad program of self-control
) ) ,

can be highly effective, whereas aversive conditioning alone is likely to

yield unimpressive results.

Alcoholism

Awide variety of "neurotic personality disturbances" have been

proposed as the underlying determinants of chronic alcoholism. Among
the more widely accepted interpretations are those advanced by psycho-
analytic theor\% according to which alcoholism derives from latent
homosexualitv related to fixations on "passive-narcissistic aims." Oral
dependent needs and characterological structures are thus frequently
invoked as the decisive predisposing factors in the excessive use of
alcohol. Self-destructive drives, feelings of inferiority, unconscious needs
to dominate, and a host of other factors including excessive mothering,
insufficient mothering, emotional immaturity, and introverted psycho-
neuroses have also been proposed as determinants of alcoholism.
In contrast to the widespread claim for a prealcoholic personality,
Alcoholism 529

comparative studies of alcoholics and nonalcoholics (Sutherland, Schroe-

der, & Tordella, 1950; Syme, 1957) have generally failed to identify any
specific personality traits or "underlying dynamics" that would clearly
differentiate alcoholics from other deviant groups, or for that matter,
from persons judged to be "normal." Even if some consistent personality
correlates of alcoholism had been obtained, it would be impossible,
without longitudinal studies, to determine whether the given personality
patterns represented the cumulative consequences or the causes of
chronic intoxication. It is nevertheless evident from a large body of
empirical findings and knowledge of behavior maintenance mechanisms
that the search for personality dynamics that supposedly control excessive
drinking is a futile pursuit. Just as persons who differ markedly in per-
sonality attributes can learn to use tobacco excessively, so, given appro-
priate social-learning conditions, persons who possess diverse personality
characteristics can be taught heavy drinking of alcoholic beverages. In
fact, it has been shown repeatedly that no matter what deviant behavior

is singled out for study, it is usually found in a wide variety of person-

ality types. A much more fruitful approach to the understanding of alco-

holism would be to investigate the learning contingencies specifically

associated with drinking behavior and the reinforcement mechanisms
maintaining self-intoxication.

EFFECTS OF ALCOHOL ON EMOTIONAL AROUSAL AND REACTIVITY

Psychodynamic theories have generally emphasized the symbolic

value of alcohol in gratifying "oral" or "passive-dependent" needs, but
remarkably little attention hasbeen paid to the pharmacological prop-
erties of ethanol which, under certain conditions, make it a powerful
positive reinforcer.
One set of experiments that has direct bearing on the reinforcing
qualities is concerned with its effects on both autonomic
of ethanol
arousal and reactivity. In these studies subjects' physiological responses
are measured prior to and following the ingestion of alcohol, with basal
conductance level and magnitude of GSR responses to specific stressor
stimuli typically serving as indices of emotional responsiveness. The
findings generally show that alcohol in small doses has no consistent
(Docter & Perkins, 1961; McDonnell & Carpenter, 1959), but it
effects
can produce substantial reduction in affective arousal when taken in
moderate to large quantities (Carpenter, 1957; Greenberg & Carpenter,
1957). A
comparison of alcohol, meprobamate, and a placebo by Lienert
& Traxel (1959) further reveals that alcohol and the tranquilizer are
equally effective in reducing GSR responses to disturbing verbal stimuli.
Moreover, subjects who had exhibited high emotionality, as assessed
530 AVERSIVE COUNTERCONDITIONING

several weeks prior to the experimental session, were tranquilized by

alcohol to a greater degree than those who had previously displayed low
arousal.
sometimes mistakenly assumed (Chafetz & Demone, 1962) that
It is

reinforcement principles cannot adequately account for alcoholism

because the devastating social and physical consequences of chronic
drinking far outweigh its temporary relief value. This argument over-
looks the fact that behavior is more powerfully controlled bv its im-
mediate, rather than delayed, consequences, and it is precisely for this
reason that persons may persistently engage in immediately reinforcing,
but potentially self-destructive, behavior. Future adverse consequences,
reinstated symbolically in the present, may be sufficiently strong to
inhibit drinking behavior when instigation for escape is relatively weak.
On the other hand, it is unreasonable to expect thoughts of future effects
to exert much of an inhibitory influence in persons who experience a
high level of aversive stimulation and who present a well-established
stress-alcoholism response pattern.

EFFECTS OF ALCOHOL ON AVOIDANCE AND ESCAPE RESPONSES

Further evidence for the stress-reducing properties of alcohol is

provided in experiments with animals designed to study disinhibitory

effects and extinction of avoidance responses. Suggestive findings re-

garding the fear-reducing effects of alcohol were originally reported by

Masserman & Yum (1946) in a studv in which cats that had learned to
perforin complex manipulations to secure food subsequentlv inhibited the
instrumental manipulatory and approach responses after they had been
shocked at the goal. Administration of small doses of alcohol, however,
promptly restored the approach manipulations designed to obtain the
food rewards. In addition, the cats developed a preference for milk cock-
tails containing 5 percent alcohol to plain milk during the series of shock

trials,but reverted to their original preference for nonalcoholic drinks

after the aversive stimulation had been discontinued and emotional re-
sponses were completely extinguished. In a partial replication of the
Masserman and Yum studv, Smart (1965) further confirmed the anxiety-
mitigating effects of alcohol.
In order to test whether alcohol reduces punishment-induced avoid-
ance behavior or increases approach tendencies in an approach-avoidance
conflict, Conger ( 1951 ) designed an experiment in which he trained one

group of animals to approach the lighted end of the alley for food, and
a second group to avoid the lighted end of the alley to escape electric
shocks. Compared to the behavior of sober controls, which had been ad-
Alcoholism 531

had
ministered placebo injections, the avoidance responses of subjects that
received alcohol injections showed a substantial reduction in strength,
but approach responses seemed unaffected.
A few experiments involving human subjects have also demonstrated
the disinhibiting effects of alcohol on verbal expressions of sexual and
aggressive behavior in social drinking situations (Bruun, 1959; Clark &
Sensibar, 1955 ) . Among humans, however, the same dose of alcohol may
have diverse effects because individuals differ in the types of responses
inhibited, the strength of inhibitions, and variations in social conditions
which, in part, serve to define and to control appropriate behavior.
Numerous studies have been concerned with the influence of ethanol
on escape and avoidance responses tested in a variety of aversive condi-
tioning situations involving no rewarded competing responses. In these
experiments animals are initially taught to perform responses which either
avert the onset of aversive stimulation or terminate it after its occurrence.
Changes avoidance and escape responses as a function of
in the rate of
the administration of ethanol are then assessed relative to the perform-
ances of control groups, which receive either water or solutions contain-
ing other types of drugs. Ethanol in moderate doses produces more rapid
extinction of fear-mediated responses (Kaplan, 1956; Pawlowski, Denen-
berg, & Zarrow, 1961), and it reduces the rate of responses designed to
postpone the occurrence of aversive stimuli ( Hogans, Moreno, & Brodie,
1961; Sidman, 1955). Moreover, the capacity of alcohol to reduce emo-
tional behavior is similar to that of other drugs possessing central de-
pressant properties (Korpmann & Hughes, 1959).
The withdrawal of positive reinforcers following a period of reward
generally produces aversive effects that lead to the suppression of associ-
ated responses. Further support for interpreting the behavioral effects of
ethanol in terms of emotion-reducing processes is furnished by experi-
ments concerned with the reinstatement of responses following their
inhibition through frustrative nonreward. Under these conditions, animals
administered ethanol are more persistent than those given a placebo in
performing nonreinforced behavior (Barry, Wagner, & Miller, 1962), and
they increase their rate of response in the presence of stimuli signifying
nonreward (Blough, 1956; Miller, 1961).
The experimental data reviewed so far, based on the forced adminis-
tration ofmoderate doses of ethanol, strongly indicate that alcohol can
produce significant decrements in both autonomic arousal and emotional
behavior generated by aversive environmental conditions. Investigations
concerned with variables governing the voluntary intake of alcohol also
contribute to an understanding of the development and maintenance of
self-intoxication. This research is reviewed next.
532 AVERSIVE COUNTERCONDITIONING

DETERMINANTS OF VOLUNTARY ALCOHOL CONSUMPTION

The self-selection method has been extensively employed in studies
designed to identify the stimulus determinants of alcohol consumption.
In these investigations animals are typically provided with a choice be-
tween an alcoholic solution and one or more other liquids; the base level
of voluntary alcohol intake is then compared with the amount consumed
under various environmental conditions.
Findings of studies utilizing a forced alcohol regimen, in which the
animals' entire liquid intake is restricted over a period of time to solutions
containing various concentrations of ethanol, reveal that alcohol per se
has no strong inherently reinforcing properties. Under such conditions,
animals consume small, nonintoxicating amounts of alcohol, but they
readily revert to drinking other liquids when these later become available
(Korman & Stephens, I960; Richter, 1956). The positive reinforcing value
of alcohol, as inferred from increases in alcohol consummatory responses,
can be substantially enhanced, however, by certain physiological and
psychological conditions. Although animals which metabolize ethanol
rapidly consume greater amounts of alcohol in free-choice situations than
those who exhibit lower metabolic rates, studies of intraindividual varia-
tions reveal that nutritional deficiencies, endocrinal factors such as insulin,
and drugs which produce damage increase voluntary ethanol in-
liver
take (Mardones, 1960; Rodgers & McClearn, 1962). However, studies of
human alcoholism, though complicated by ambiguities regarding cause
and effect, have failed to yield any reliable differences between alcoholics
and nonalcoholics in genetic and endocrinological characteristics ( Lester,
1966).
Findings of laboratory studies comparing voluntary intake of alcohol
before, during, and after aversive stimulation throw some light on one
of the possible mechanisms underlying alcohol consumption. It will be
recalled that Masserman & Yum (1946) found that animals who had
initially preferred plain milk to an alcoholic milk solution developed a

preference for alcohol during periods of shock-induced stress, but re-

verted to nonalcoholic drinks following termination of aversive stimuli

and fear extinction. Clark & Polish 1960 ) measured the intake of water
(

and a solution of 20 percent alcohol by monkeys before, during, and

after avoidance training in which each response briefly postponed the
occurrence of electric shocks. Although there was relatively little change
in water intake across phases, alcohol consumption increased during, and
decreased following, the avoidance conditioning sessions.
The effects of aversive stimulation on alcohol consumption are apt
to be more prolonged when punishment is administered on a noncon-
tingent and unpredictable basis. Casey (1960), for example, studied the
 .

Alcoholism 533

relative intake of water and an alcohol solution as a function of aversive

shocks programmed according to a variable interval schedule. Under
such conditions of uncertainty, the animals drank somewhat larger
amounts of alcohol for the period of stress, but the greatest increments
in voluntarv alcohol consumption occurred during the following month,
after the shocks had been discontinued. On the other hand, in a second
group of animals provided with a free choice of water or a solution of
reserpine (which has long-delayed effects), the same experimental
manipulations failed to increase the attraction of the latter drug. These
differential findings suggest that the relatively rapid absorption of
alcohol, and the attendant reduction in aversive arousal, may partly
contribute to its effectiveness as a positive reinforcer under conditions
of aversive stimulation. Moreover, generalized emotionality may further
enhance its reinforcing effects ( Korn, 1960 )

SOCIAL LEARNING OF DRINKING BEHAVIOR

The research discussed above indicates that excessive alcohol con-

sumption maintained through positive reinforcement deriving from
is

the central depressant and anesthetic properties of alcohol. Persons who

are repeatedly subjected to environmental stress are, consequently, more
prone to consume anesthetic doses of alcohol than those who experience
less stress and for whom, therefore, alcohol has only weak reinforcing
value. In many cases, also, excessive drinking may primarily serve to
relieve the aversive effects ofboredom.
Prolonged and heavy use of alcoholic beverages produces alterations
in the metabolic system which provide the basis for a second maintain-
ing mechanism that is quite independent of the original functional value
of alcohol. That is, withdrawal of alcohol elicits exceedingly aversive
physiological reactions consisting of tremulousness, nausea, vomiting,
marked weakness, diarrhea, fever, hypertension, excessive perspiration,
and insomnia (Isbell, Fraser, Wikler, Belleville, & Eiseman, 1955;
Mendelson & La Dou, 1964). After the person thus becomes physically
dependent on alcohol, he is compelled to consume large quantities of
liquor both to alleviate distressing physical reactions and to avoid their
recurrence. Since the ingestion of intoxicants promptly terminates physio-
logically generated aversive stimulation, drinking behavior is automati-
cally and continuously reinforced. After pharmacological addiction oc-
curs, the major part of the alcoholic's time and resources becomes devoted
to maintaining a continuously high level of self-intoxication.
Although aversion reduction and other positive reinforcements which
typicallyaccompany social drinking may account adequately for the
maintenance of inebriety, an adequate theory of alcoholism must invoke
additional social-learning variables since, obviously, most people who
534 AVERSIVE COUNTERCONDITIONING

are subject to stressful experiences do not become been

alcoholics. It has
customary to summon internal determinants in the form of neurotic per-
sonality disturbances and underlying pathologies as the differentiating
antecedent variables. The inadequacy of theories of alcoholism, which
emphasize the role of personality and internal dynamics, becomes
traits

readily evident in the marked and subcultural differences in the

cultural
incidence of alcoholism. Indeed, based on the theory that a "neurosis"
is instrumental in the development of chronic alcoholism, one would be

forced to conclude that Jews, Mormons, Moslems, Italians, Chinese, and

members of other cultural groups which present exceedingly low rates of
addictive drinking are lacking in neuroses, oral deprivations, self-destruc-
tive tendencies, latent homosexuality, indulgent mothering, and inade-
quacy feelings, whereas the latter pernicious conditions must be highly
prevalent among the Irish, who surpass all other ethnic groups in chronic
alcoholism (Chafetz & Demone, 1962; McCarthy, 1959; Pittman &
Snyder, 1962). Perhaps the most striking evidence that alcoholism pri-
marily represents a learned pattern of behavior, rather than a manifesta-
tion of a particular type of predisposing underlying pathology, is pro-
vided by the extraordinarily low rates of alcoholism among Jews, who
experience no less, and in all probability more, psychological stress than
members of other ethnic groups noted for their drinking (Glad, 1947;
Snyder, 1958). These ethnic and subcultural differences in the use of
intoxicants point to the importance of the prealcoholic social learning
of drinking behavior in the development of alcoholism.
The social-learning variables take several forms. At the most general
level they are reflected in the cultural norms that define the reinforce-
ment contingencies associated with the use of alcohol. There is consider-
able evidence that the consumption of alcohol is significantly influenced
by the drinking mores of given social groups. Members of cultures that
are highly permissive toward the use of intoxicants, or even consider
drinking to be emulative behavior, display a higher incidence of drunken-
ness than individuals reared in cultures that, for religious and other
reasons, demand sobriety. Similarly, within heterogeneous cultures such
as our own, the prevalence of chronic intoxication varies as a function
of the types of social-learning conditions that are associated with class
status, religious affiliation, racial and ethnic background, occupation, and
urban or rural residence.
Although cultural and subgroup mores obviously play an influential

role in determining the extent of excessive drinking, normative injunc-

tions alone do not explain either the relatively low incidence of addictive
drinking in social groups that positively sanction the use of alcoholic
beverages, or the occurrence of chronic alcoholism in cultures prohibiting
intoxicants.
Alcoholism 535

Cultural and subgroup mores are to a large extent transmitted through

the modeling behavior of socializing agents; consequently, one cannot
assume that members of a particular class undergo equivalent learning
experiences. Studies of the family background of alcoholics generally re-
veal an unusually high incidence of familial alcoholism (Fort & Porter-
field, 1961; Lemere, Voegtlin, Broz, O'Hollaren, & Tupper, 1942b; Wall,
1936). It might be argued that these data support a genetic interpreta-
tion of alcoholism, but the pattern of drinking behavior being modeled
and the range of circumstances in which it occurs are of greater im-
portance than exhibition of some drinking or complete abstinence by
family members. For example, in Italian and Jewish households, use of
dilute alcoholic beverages, particularly wine, is approved under clearly
circumscribed conditions but negatively sanctioned if consumed in either
intoxicating amounts or inappropriate situations. When the use of alcohol
is thus restricted primarily to mealtimes or forms an integral part of
religious ceremonies and other social and familial practices, alcohol con-
sumption may be brought under sufficiently narrow stimulus control to
ensure moderation ( Bales, 1946; Glad, 1947; Snyder, 1958 ) On the other .

hand, in familial situations where alcohol is consumed extensively in a

large variety of circumstances and is a preferred response to monotony
or stress, a similar type of drinking pattern is likely to be transmitted
to growing offspring. Although drinking behavior is initially most often
acquired under nonstress conditions, a habitual social drinker will experi-
ence stress reduction on many occasions. Once alcohol consumption is
thus intermittently reinforced, it will be readily elicited under frustrative
or aversive conditions. Therefore, alcoholism typically results from habitu-
ation after prolonged heavy social drinking acquired within the context
of familial alcoholism.
The relationship of stress to alcoholism is perhaps strongest among
alcoholics who are members of subcultural groups that negatively sanc-
tion the consumption of intoxicating beverages, and whose parents have
practiced total abstinence. The social-learning history of alcoholism
under these conditions has never been adequately documented, but there
is some evidence to suggest that in these cases the drinking pattern is

originally acquired under highly stressful conditions and then generalizes

to less acute emotional circumstances (Fort & Porterfield, 1961). In
addition, outside the family, peer models who drink may play an influ-
ential role in transmitting drinking behavior (Skolnik, 1957).
In the foregoing analysis of alcoholism, aversive stimulation and its

quick reduction through the depressant action of alcoholic beverages

were assigned a central role in the development and maintenance of
addictive drinking. It should be emphasized, however, that conflict, bore-
dom, frustration, and other stressful conditions may elicit a wide variety
536 AVERSIVE COUNTERCONDITIONING

of reactions including aggression, dependency, withdrawal, somatization,

regression, apathy, autism, inebriety, or constructive coping behaviors.
Persons who exhibit the latter stress response pattern will typically be
judged "normal"; in contrast, "neuroses," "deep-seated personality dis-
turbances," and other disease processes are frequently invoked as ex-
planatory factors when persons have acquired one or more of the
former patterns of coping behavior. These assumed pathologies repre-
sent essentially pseudo-explanations since the main evidence for their
existence is the behavior that they are called on to explain.
From a social-learning point of view, alcoholics are people who have
acquired, through differential reinforcement and modeling experiences,
alcohol consumption as a widely generalized dominant response to
aversive stimulation. Therapeutic attention would therefore be most
profitably directed toward reducing the level of aversive stimulation
experienced by and toward eliminating alcohol stress
individuals,
responses either directly or, preferably, by establishing alternative modes
of coping behavior. Given more effective and rewarding means of dealing
with environmental demands, individuals will have less need to resort
to self-anesthetization against everyday experiences.
It is entirely possible that the stress component in alcoholism has

been assigned excessive weight largely because investigations involving

psychological variables have been essentiallv confined to aversive con-
ditioning procedures, to the relative neglect of other potentially significant
determinants of alcohol consumption. Moreover, although physiological
conditions and environmental stress have been shown to increase alcohol
intake, amount consumed seldom exceeds the animals' oxidative
the
capacity. In contrast, Lester ( 1961 ) found that animals on a variable
interval schedule of positive reinforcement maintained a steady and
prolonged state of self-intoxication accompanied by signs of overt
drunkenness, behavioral impairment, and the development of metabolic
tolerance analogous to human alcoholism. Since intermittent food reward
can hardly be considered a highly distressing situation, evidently factors
other than stress reduction were primarily responsible for the self-main-
tained inebriation. The findings from the latter study point to the need
for experimental investigations of other psychological variables that
may be expected eventually to produce addictive drinking.
Since alcoholism often arises in rewarding social interactions, operant
drinking, in which alcohol consumption primarily serves an instrumental
rather than a reinforcing function, warrants detailed examination. In
this process a person drinks in order to obtain a variety of rewards
deriving from social interactions with imbibing companions. Prolonged
heavy drinking leads to the development of physiological tolerance and
dependence on alcohol which, in turn, necessitates increased alcohol
Alcoholism 537

intake. Thus, in advanced stages biochemical, stress-reduction, and

social-reinforcement mechanisms may contribute to the maintenance of
addictive drinking.
Regardless of the theory of alcoholism and psychotherapy to which
one may subscribe, the elimination or drastic modification of alcoholic
behavior is obviously an objective of considerable import. One of the
behavioral approaches to this problem has relied on the conditioning
of aversive properties to alcoholic beverages. In the following sections
mode of therapy, and the conditions
the value and limitations of this
under which alternative or supplementary procedures are essential for
the successful modification of alcoholism, are considered in detail.

CONDITIONED AVERSION THERAPY

The first systematic application of aversive counterconditioning to

the modification of alcoholism was reported by Kantorovich (1934).
Twenty alcoholics participated in 5 to 18 sessions in which cards con-
taining the names of drinks, and actual sight of bottles of vodka, wine,
and beer, and the smell and taste of these various alcoholic beverages
were successively paired with electric shocks. A control group of 10
alcoholics received hypnotic suggestions and medication. Of the 20 clients
in the experimental group, 17 acquired stable aversion reactions to al-
cohol, and 14 remained totally abstinent when subsequently evaluated
at periods ranging from 3 weeks to 20 months. In contrast, all but one of
the controls reverted to their customary alcoholic ways within a few days
following their discharge from the hospital.
Although Kantorovich's procedure aroused little interest, aversion
therapies employing pharmacological agents have been widely applied
to the treatment of alcoholism. Except for minor variations, the condi-
tioning procedures are generally patterned after the methods originally
devised by Voegtlin and his associates (Lemere, Voegtlin, Broz, O'Hol-
laren, & Tupper, 1942a; Voegtlin, 1940) at a sanitarium devoted ex-
clusively to the treatment of alcoholism. The treatment consists essentially
of associating the sight, smell, taste, and thought of alcohol with drug-
induced nausea in 4 to 7 brief sessions distributed over a period of about
ten days.
On the morning preceding the treatment, the client is administered
only liquids and a stimulant drug (e.g., benzedrine sulphate) designed
to augment the conditioning process. The sessions are conducted in a
semi-darkened, soundproof room from which all extraneous auditory,
visual, and olfactory stimuli have been excluded. In front of the client's
chair is a table containing a varied array of liquors including bourbon,
scotch, gin, brandy, rum, beer, and wine, spotlighted so as to focus
attention on the liquors. The client is first given a glass of tepid water
538 AVERSIVE COUNTERCONDITIONING

containing oral emetine, and immediately thereafter an injection of an

emetine-pilocarpine-ephedrine mixture. Emetine is utilized as the aver-
sion-producing agent primarily because its emetic action is more sustained
and it does not have the sedative effect of apomorphine.
Just prior to the onset of nausea the client is poured an ounce of

straight whiskey and asked to smell it, to sip it, and to taste it thoroughly.
This same procedure is repeated several times with whiskey either taken
straight or mixed with warm water to afford easy emesis. The rationale
for relying on whiskey exclusively in the initial session and at the
beginning of each subsequent session is that it produces greater gastric
irritation than beer or wine and therefore serves to facilitate the emetic
reaction. Kant ( 1944 ) has seriously questioned the wisdom of using the
conditioned stimulus in order to enhance the unconditioned response,
since this procedure runs a high risk of reinforcing drinking behavior.
If 4 to 6 ounces of alcohol are ingested before emesis occurs, large
quantities of alcohol are likely to be absorbed. Under these conditions,
the immediate reinforcing effects of alcohol may reduce, or even out-
weigh, the effectiveness of subsequent aversive experiences. Considering
the difficulties in precisely timing the onset of emetic responses, this
factor may
partly account for variations in strength of conditioned
aversion developed by different investigators supposedly using the
same method. While Voegtlin has taken necessary precautions to avoid
alcohol absorption by the client during treatment, it is not clear whether
other therapists have paid as close attention to this important point in
the technique.
The procedural changes recommended by Kant (1944, 1945) obviate
the alcohol absorption problem without detracting from the efficacy of
the treatment. During the first two sessions just prior to and during
nausea, the client is asked to look at, smell, and taste the different
alcoholic beverages, but then to spit them out. In subsequent sessions,
the client is requested to drink some alcohol at the height of nausea.

Only during the terminal sessions, when alcohol itself has acquired the
capacity to produce rapid emptying of the stomach, is the client encour-
aged to take several drinks.
It is important to include all varieties and types of alcoholic beverages

as conditioned stimuli in order to establish the most stable and general-

ized aversion responses. Lemere & Voegtlin (1940), for example, report
several cases in which aversion persisted to the class of beverages origi-
nally counterconditioned, but the client began to drink intoxicants toward
which aversion reactions had never been established. Subsequent treat-
ment involving these beverages produced total abstinence. Quinn &
Henbest (1967) report a similar specificity of aversion in most cases in
which negative properties were conditioned to whiskey alone. Although
Alcoholism 539

beer, wine, and whiskey are used, greatest attention is usually directed
toward the particular type of intoxicant that the client most prefers. The
conditioning trials are continued until the alcoholic stimuli alone elicit
nauseous reactions, and ingestion of the different varieties of liquor
produces prompt emesis. At the conclusion of the treatment the client
is instructed that he must, in the future, abstain totally from all alcoholic
beverages.
There have been some variations in the conditioning procedure
originally developed by Voegtlin. Miller, Dvorak, & Turner (1960) re-
port that excellent aversions to alcohol can be developed by group appli-
cations of this method. The authors report that simultaneous presence of
several persons undergoing treatment frequently produces contagious
emesis, thereby facilitating the negative conditioning process.
Many European therapists have employed a counterconditioning
method devised bv Feldmann ( DeMorsier & Feldmann, 1950 ) in which ,

apomorphine serves as the UCS, and treatment sessions continue at 2 to

4 hour intervals until complete aversion has been achieved toward all
varieties of alcoholic beverages.
The search continues for an unconditioned stimulus which would have
sufficiently strong aversion-producing properties without disagreeable side
effects, but which at the same time permitted the administration of coun-
terconditioning methods on an out-patient basis. Miller (1959), for exam-
ple, reports considerable success in the treatment of alcoholism with hyp-
notically induced aversion. The client is hypnotized and instructed to
reexperience vividly his worst hangover, including the general malaise,
headache, nausea, and vomiting. With the onset of nausea and emesis the
client is asked to smell and taste alcoholic beverages including whiskey,
wine, and beer. In addition to the conditioning trials, the client is also
given direct suggestions that, in the future, the taste or smell of alcohol
will promptly evoke disagreeable nauseous feelings. Both Miller and
Strel'chuk ( 1957 ) who has similarly experimented with verbal induction
,

methods under hypnosis, maintain that hypnotically induced aversion re-

sponses are more stable than those produced by emetic drugs, although
no comparative data are furnished to support this claim.

EFFICACY OF AVERSION THERAPY

Numerous outcome studies have been reported indicating the rates of

abstinence from alcoholic beverages that follow the application of aversive
counterconditioning. In evaluating the outcomes of any form of treatment
for alcoholism, it is important to bear in mind several qualifications. Pre-
cise assessment of a person's alcohol intake would necessitate continuous
monitoring of his activities. Since this is obviously both ethically objec-
tionable and impractical, outcomes are typically measured in terms of self-
540 AVERSIVE COUNTERCONDITIONING

reports of drinking behavior; ratings by persons who are well acquainted

with the client; public records of intoxication; and various indirect indices
based on adequacy of social, physical, and occupational functioning ( Hill
&Blane, 1967).
It has been widely agreed, on the assumption that alcoholics can never

resume a controlled and less excessive pattern of drinking, that complete

abstinence from alcoholic beverages should be the main objective of any
remedial program. Consequently, the efficacy of behavioral approaches is
typically evaluated in terms of duration of sobriety achieved among its

In recent years several investigators (Davies, 1962; Kendell, 1965)

clients.
have reported that a small percentage of alcoholics with a long history of
addictive drinking have been able to drink in moderation after treatment.
If one employed a measure of change in drinking behavior rather than
the stringent criterion of total abstinence, the proportion of cases deriving
some benefit from a therapeutic program would be somewhat higher.
However, the validity of more refined improvement ratings is open to
question, considering that assessment of pretreatment drinking behavior
is usually based on retrospective reports rather than on direct measure-
ment of amount and pattern of alcohol consumption. Mello & Mendelson
(1965 ) have developed a sensitive measure of drinking behavior that
could be employed to study changes in alcoholic intake. Participants are
given free access to an operant conditioning device on which they can
work for either alcohol or monetary reinforcement. After performing a
certain number of responses a small amount of alcohol is dispensed or
money points are recorded on a counter, depending upon which of these
reinforcers is selected. This procedure permits detailed examination of
the pattern of alcohol consumption over a specified period.
Although a major purpose of treatment should be to modify the prob-
lem behavior for which clients seek help, the efficacy of a given method
of treatment can be best evaluated in terms of its total consequences. This
is particularly true of chronic alcoholism, which has profound adverse

effects on social, marital, occupational, and other areas of functioning.

However, in emphasizing the value of measuring multiple outcomes, ther-
apists too often discount the relevance of the abstinence criterion ( Hill &
Blane, 1967). This reordering of criteria is often accompanied by enumer-
ation of hazardous consequences that can result from cessation of drink-
ing.Assessment of drinking behavior is therefore largely neglected in fa-
vor of inferred psychological changes that can make any form of therapy
look good even though it has failed to achieve its intended objective. To
safeguard against perpetuation of weak methods on the basis of extrane-
ous evaluation research should include assessment of drinking be-
criteria,
havior, regardless of whatever other outcome criteria one wishes to in-
voke.
Alcoholism 541

table 8-1 Abstinence Rates Obtained by Aversion Therapy

Number Complete
of Abstinence Duration of
Investigator Cases Avers ive Stimulus (%) Follow-up

Edlin, Johnson, Hletko, &

Heilbrunn (1915) 63 Emetine 30 3-10 months
Kant (1945) 31 Emetine 80 Unspecified
Lemere & Voegtlin (1950) 4096 Emetine 51 1-10 years
Miller, Dvorak, & Turner
(1960) 10 Emetine 80 8 months
Shanahan & Hornick (1916) 24 Emetine 70 9 months
Thimann (1949) 275 Emetine 51 3-7 years
Wallace (1949) 31 Emetine 42 4-17 months
DeMorsier & Feldmann (1950) 150 Apomorphine 46 8-31 months
Mestrallet & Lang (1959) 183 Apomorphine 41
Ruck (1956) Apomorphine 50 1.5 years
Kantorovich (1934) 20 Electric shock 82 3 weeks-
20 months
Blake (1967) 25 Electric shock 23 12 months
37 Electric shock 48 12 months
with relaxation
training
Miller (1959) 24 Verbally induced 83 9 months
aversion
Anan t (1967) 26 Verbally induced 96 8-15 months
aversion
Ashem & Donner (1968) 15 Verbal 1> induced 40 6 months
aversion

Table 8-1 summarizes the percentages of complete abstinence obtained

by different investigators employing aversive counterconditioning. The
figures in the table generally do not include cases whose drinking status
was unknown because they could not be located in subsequent follow-up
studies. These methods, of course, are not applied under psychologically
sterilized conditions. The conditioning events are socially administered,
clients are undoubtedly given some practical suggestions for more con-
structive means of coping with their life situations, and they are probably
socially reinforced for maintaining sobriety. It is also undoubtedly true
that by the time alcoholics appear for aversion therapy they have been
recipients of considerable wise counsel, impassioned appeals by signifi-
cant people in their lives, repeated admonitions, rewards, and a variety
of remedies, to no avail. Treatment outcomes are frequently attributed to
common social influences as though these were encountered for the first
time in the treatment situation.
The reported variability in abstinence rates most likely reflects the dif-
ferential time intervals at which the various investigators conducted their
 . )

542 AVERSIVE COUNTERCONDITIONING

follow-up evaluations. In general, abstinence rates are extremely high in

the period immediately following treatment; the incidence of reversions
to drinking is between 6 and 12 months; thereafter abstinence
greatest
declines gradually with increasing duration.The fact, however, that some
variation in outcomes is found even when similar procedures and fol-
low-up intervals are involved, suggests that the differences may also be
partly attributable to inadequate implementation of requisite conditioning
procedures, differences in sample characteristics, and variations in the ex-
tent to which environmental contingencies are unfavorable for maintain-
ing sobriety. The conspicuous absence of any controlled experimentation
in this area makes it impossible to determine the degree to which treat-
ment outcomes may be differentially affected by the nature of the aversive
stimulus, the number and distribution of conditioning sessions, clients' re-
sources for alternative modes of response to stress, and environmental con-
tingencies associated with drinking behavior.
The outcome data reported bv Voegtlin and his associates merit some
discussion since they reflect the most judicious and extensive application
of the principle of counterconditioning to the treatment of alcoholism.
Except for instances where the therapy was contraindicated for physical
reasons (4 percent) and cases who refused to accept treatment after de-
toxication (5 percent), aversion therapy was offered to all applicants
without further selection. Consequently, an extremely wide age range,
varied socioeconomic levels, and practically all occupational groups are
represented. Statistical analyses of follow-up data from approximately
3000 cases treated over a period of ten years reveal numerous significant
correlates of abstinence (Voegtlin & Broz, 1949). Clients under 25 contrib-
uted the lowest rates of sobriety (23 percent), whereas the incidence of
abstinence increased with each succeeding age interval. Although occu-
pational status, in itself, did not appear to represent an important source
of variance, clients who presented a history of unemployment and fre-

quent job changes proved to be considerably less responsive ( 21 percent

than those with relatively stable employment histories ( 71 percent ) Sim- .

ilarly, a considerably smaller proportion of charity cases (20 percent)

remained abstinent compared to middle class (49 percent) or wealthy
(62 percent) participants. Continued association with drinking compan-
ions accounted for a number of reversions to alcoholism. It is not surpris-
ing, therefore, that clients who joined abstinence clubs maintained much
higher sobriety rates (87 percent) than those who refused to associate
with such groups ( 40 percent )
Of particular interest the finding that clients' willingness to, and ac-
is

tual participation in, periodic reconditioning sessions during the year im-
mediately following treatment (when most alcoholic reversions occur)
Alcoholism 543

significantly increased the probability of continued abstinence (Voegtlin

et al., 1942). Of a total number of 155 clients who initially agreed to par-
ticipate in the post-therapy program, 91 percent remained abstinent dur-
ing the year of the study, whereas the corresponding figure for 73 clients
who refused to volunteer for follow-up sessions was 71 percent. In order
to provide a further comparison group, every fourth case was not offered
the opportunity to receive additional conditioning trials following the
completion of the basic treatment. The latter control group yielded a 70
percent abstinence rate.
It is difficult to determine from these data the influence of motivation
to change per se, since some of the clients who initially volunteered for
additional sessions failed to return; conversely, an unspecified number of
control cases, who subsequently learned of the program, voluntarily re-
quested and received the supplemental treatment. It is clear from the
within-groups analysis, however, that abstinence rates are positively re-
lated to the number of supplementary conditioning sessions (Table 8-2).

table 8-2 Percentage of Abstinence as a Function

of the Number of Supplementary
Conditioning Sessions

Number of Percentage of
Supplementary Sessions Number of Cases Abstinence

None 88 74
One 113 80
Two 57 95
Three 20 90
Four or more 7 100

Based on the overall findings of this study, an alcoholic who is favorably

disposed toward continued periodic treatment has an 86 percent chance
of remaining abstinent for at least one year.
Aversive counterconditioning is thus a simple, brief, economical, and
relatively effective method for producing aversion to alcohol for at least
a limited period, and for continued total abstinence in approximately 50
percent of the clients. The aversion form of therapy offers the additional
advantages of ready acceptance by clients and wide applicability. Con-
traindications primarily include certain physical disorders such as gastro-
intestinal ulceration or hemorrhage, hernia, hepatic cirrhosis, cardiac con-
ditions, and coronary disease. Despite this relatively favorable showing
aversion treatment of alcoholism has never been widely accepted, and
with the advent of disulfiram, applications of counterconditioning proce-
dures have further declined. Although disulfiram therapy relies upon aver-
544 AVERSIVE COUNTERCONDITIONING

sive contingencies for the maintenance of sobriety, as we shall see next,

this approach is aimed primarily at suppressing drinking behavior and
does not necessarily alter the positive valence of alcoholic beverages.

DISULFIRAM REGIMEN

In 1948, Hald & Jacobsen reported experiments in which they found

that persons who had ingested Antabuse or disulfiram Tetraethylthiuram
(

disulphide ) for a period of time experienced intensely aversive physiologi-

cal reactions when they subsequently drank even small amounts of alco-
hol. The disulfiram-alcohol reactions (Bowman, Simon, Hine, Macklin,
Crook, Burbridge, & Hanson, warmth
1951) consist initially of disagreeable
or flushing in the face, conjunctiva and tachycardia occurring approxi-
mately 5 to 20 minutes after the intake of alcohol, followed during the
next 20 to 50 minutes by headache, dyspnea, dizziness, nausea and vomit-
ing, chest pains, physical weakness, pallor, and hangover symptoms. These
reactions, which usually persist for 1 to 2 hours, apparently result from
the action of disulfiram in blocking the oxidation of alcohol at the stage
of acetaldehyde. Because of the slow elimination of the disulfiram sub-
stance, a single dose can render a person physiologically sensitized to al-
coholic beverages for a relatively long time. Reports of encouraging results
obtained through this method, along with its simplicity, led to the wide-
spread use of Antabuse treatment for alcoholism.
The therapeutic regimen generally proceeds along the following lines:
On the day following detoxication the client is orally administered
first

1 to 2 grams of disulfiram, and is given progressively diminishing dosages

on the next three days. After the primary intolerance for alcohol has been
established, the client is then given one or more test trials of alcohol in
order to determine the optimum maintenance dosage of Antabuse. The
dosage is adjusted individually to the level where the characteristic, un-
pleasant side effects of the drug are reduced to a minimum, but the dosage
is still adequate to produce sufficiently intense reactions to deter further

drinking. The reactions to the test doses also serve to impress upon the
client the serious physical consequences of ingesting even small amounts
of alcohol while on disulfiram. Following discharge, the client is placed
on a maintenance dosage which usually varies from % to % gram tablet
of disulfiram taken each day either before breakfast or in the evening
(Bowman et al., 1951; Child, Osinski, Bennett, & Davidoff, 1951).
Because of the violent physiological reactions that can be elicited by
alcohol when disulfiram is present in the body, the primary intolerance
to alcohol and the maintenance dose are generally established during a
brief period of hospitalization with the client under careful observation.
However, Martensen-Larsen (1953), who has written authoritatively about
this mode of therapy, describes a therapeutic regimen that may be con-
Alcoholism 545

ducted on an outpatient basis. The initial dosage of disulfiram, calculated

on the basis of 15 milligrams per kilogram of body weight, is administered
to the client during his first consultation visit. After the first treatment, the
size of the optimum maintenance dose is regulated during a period of sev-
eral months in accordance with the individual's response to alcohol test
trials and reported side effects.
Considerable statistical data are available related to the efficacy of the
disulfiram regimen. In general, the abstinence rates associated with fol-
low-up periods of varying duration are essentially of the same magnitude
as those obtained by aversive counterconditioning (Bourne, Alford, &
Bowcock, 1966; Bowman et al., 1951; Brown & Knoblock, 1951; Child et
al., 1951; Epstein & Guild, 1951; Hoff & McKeown, 1953; Jacobsen, 1950;
Shaw, 1951 ) Despite the voluminous
. statistical data relating to the coun-
terconditioning and disulfiram approaches, there is a paucity of compara-
tive investigations in which the relative efficacy of different modes of
therapy is systematically assessed within the same experimental design.
The problem of evaluating different treatment approaches is further
complicated bv the fact that psychotherapists employing traditional inter-
view procedures generally confine their reports to prescriptive statements
concerning the proper conduct of therapy or elaborate accounts of psy-
chodynamic processes, but they generally fail to cite objective data re-
garding the efficacy of this type of psychotherapeutic enterprise. Ques-
tionnaire surveys further reveal that psychotherapists are reluctant to
treat alcoholics because of their aversive disruptive behavior (Hollings-
head, 1956; Robinson & Podnos, 1966). When interview methods are ap-
plied, the clinical reportsconvey the impression that successful outcomes
are disappointingly low. Although there are no adequate data available
for estimating precisely the base rates of change in addictive drinking
without psychotherapeutic interventions, the average figures quoted are
generally on the order of 10 to 15 percent.
Comparative experimental studies of conditioned aversion and disul-
firam therapies are particularly essential, because these two approaches
have proved to be most efficacious for modifying and controlling chronic
drinking behavior. However, unlike counterconditioning methods which
involve few risks and contraindications, potentially serious physical effects
may result from the use of disulfiram should the client ingest moderate or
large amounts of alcohol while on the drug. Apart from the physiological
reactions to alcohol, a number of unpleasant side effects of disulfiram have
also been noted; these include drowsiness, nausea, headache, unpleasant
taste and body odor, gastrointestinal disturbances, and sometimes de-
creased sexual potency. These attendant reactions may, in themselves, be
sufficiently disturbing to lead clients to terminate medication. There is
some evidence, however, that such side effects can be substantially re-
 .

546 AVERSIVE COUNTERCONDITIONING

duced by decreasing the daily maintenance dose (Child et al., 1951; Mar-
tensen-Larsen, 1953). The disulfiram treatment regimen is also generally
contraindicated for clients suffering from cardiovascular disorders, cirrho-
sis of the liver, nephritis, diabetes, epilepsy, advanced arteriosclerosis, and

in cases of pregnancy.
It is possible that eventually an effective anti-alcohol agent will be
discovered that produces few unpleasant side effects. Ferguson (1956),
for instance, reports a drug, citrated calcium carbimide (CCC), whose
action is similar to that of disulfiram in inhibiting acetaldehyde metabo-
lism, but which is free of some of its disagreeable features. A preliminary
experiment in which different groups of alcoholics were treated with CCC
and with disulfiram revealed that fewer subjects in the CCC group dis-
continued medication of their own accord ( Armstrong & Kerr, 1956 )
In view of the possible physical manifestations associated with disul-
firam and the inconvenience of continuous self-medication, the selection
of this mode of therapy over the shorter, safer, and more economical
countcrconditioning methods would be justified only if the pharmacologi-
cal approach were shown to yield significantly higher rates of successful
outcomes. In a study comparing the relative efficacy of aversive counter-
conditioning, Antabuse, group hypnotherapy, and milieu therapy, Waller-
stein (1957) found that Antabuse was most efficacious according to an
aggregate rating based on degree of abstinence, general social adjustment,
"subjective feelings of difference," and changes in "personality structure."
Results for the conditioning group, however, are at such marked variance
with those achieved by other investigators that the findings of this experi-
ment must be accepted with reservation. Yanushevskii (1959) analyzed
the follow-up data on 2000 alcoholics who had received either medication,
psychotherapy, hypnosis, apomorphine-counterconditioning, or disulfiram
in a Moscow Conditioned aversion and disulfiram proved superior
clinic.

to the other procedures, but both of these therapeutic approaches pro-

duced essentially similar abstinence rates. Since there is no way of deter-
mining what selective criteria were employed in assigning cases to the
different treatment groups, these results have only suggestive value. In
view of the limited and conflicting findings, any conclusion regarding the
relative efficacy of the methods under discussion must be deferred until

adequate empirical data become available.

It should be emphasized that modifications in drinking behavior pro-

duced by aversive counterconditioning and by anti-alcohol drugs are

achieved through entirely different mechanisms. In the case of disulfiram,
abstinence is maintained on a chemical basis. As long as the pills are
taken regularly, the potent physiological consequences of drinking serve
as a powerful deterrent. However, the conditioning of aversive properties
to alcoholic beverages is precluded by the relatively long temporal inter-
Alcoholism 547

val between the ingestion of alcohol on the one hand, and the onset of the
aversive consequences on the other. Consequently, alcohol retains its pos-
itive value and the client is able to drink within several days after termi-
nating medication. Many alcoholics, in fact, will take disulfiram intermit-
tently and go on drinking sprees during periods when their physiological
tolerance for alcohol has been restored. The duration and degree of absti-
nence is, therefore, contingent on the duration and regularity with which
medication is used (Jacobsen, 1950).
The temporal prerequisites for aversive conditioning are also absent
from methods which nauseants are added to alcoholic beverages. Un-
in
der these conditions a person will refrain from drinking emeticized cock-
tails but retain his strong attraction to unmedicated alcoholic drinks. In

addition to physiologically induced restraints against the use of alcohol,

physical prevention methods were also employed as a means of ensuring
sobriety in the early history of the treatment of alcoholism. Persons were
given posthypnotic suggestions that they would develop arm paralysis
whenever they attempted to drink alcoholic beverages. This mode of ther-
apy not only resulted in a considerable amount of spilt liquor, but also
fostered the acquisition of highly ingenious drinking styles.
Unlike the preceding approaches, by creating aversion reactions to the
smell, taste,and thought of alcohol, counterconditioning procedures di-
rectly reduce the positive value of intoxicants and, therefore, do not re-
quire the continuance of externally imposed deterrents to drinking.

MULTIFORM TREATMENT OF ALCOHOLISM

Aversive counterconditioning alone has proved most successful with
alcoholics who have developed their habituation by way of prolonged
heavy social drinking, and who possess sufficient personal resources to
derive adequate from sober behavior (Thimann, 1949;
gratifications
Voegtlin & Broz, 1949). sometimes erroneously assumed by critics of
It is

treatment programs aimed at the direct modification of drinking behavior

that these approaches are based on the premise that alcohol is the sole
problem of the alcoholic. Quite to the contrary, they assume that psycho-
logical functioning involves a reciprocal influence process in which the
characteristics of behavior are important determiners of the way the en-
vironment responds to it; as a person changes, so does his environment.
Sustained abstinence is therefore largely ensured not by the fact that
liquor has been endowed with negative properties, but because elimina-
tion of drinking behavior removes the adverse consequences of chronic
inebriation and creates new reinforcement contingencies with respect to
a broad range of behavior. The restoration of physical well-being and the
positive experiences derived from improved social, marital, and financial
functioning can reinforce sobriety and reduce aberrant tendencies. For
548 AVERSIVE COUNTERCONDITIONING

this reason, "neuroses" and grossly deviant behaviors often disappear

after alcoholism has been brought under control (Jellinek, 1962; Thomp-
son & 1953 ) Evidently, the risks of aversion therapy, even when
Bielinski, .

employed as the sole method of treatment, are minor compared to the

hazards of chronic inebriety.
The fact that 40 to 60 percent of the alcoholics who receive aversion
therapy eventually resume excessive drinking after a period of abstinence
clearly reveals that, in certain cases, this method must be supplemented
with, or replaced by, other programs if sobriety is to be maintained. Tra-
ditional interpretive therapy is generally assumed to be best suited for
such cases, a belief that persists despite evidence that, of the various treat-
ments available, interview approaches have proved least successful in
modifying chronic drinking behavior.

Development of Behavioral Competencies. Alcoholics whose drink-

ing behavior has been temporarily controlled are unlikely to remain absti-
nent for long if they lack the behavioral competencies for securing grati-
fications while sober. Individuals deficient in educational achievements
and satisfying vocational skills and those who have failed, for one reason
or another, to acquire interpersonal adroitness will be subjected to con-
1

siderable negative experiences. As alcohol is increasingly used to provide

escape from an unrewarding existence, the alcoholic's initially minimal
competencies typically undergo further deterioration, resulting in even
greater aversive experiences and avoidance. Therefore, alcoholics who
present behavioral deficits require a treatment program employing model-
ing and reinforcement procedures designed to establish behavioral com-
petencies. It is assumed that as positively reinforcing behaviors are de-
veloped they will compete with, and eventually replace, alcoholic escape
and avoidance.
In a pilot project Narrol ( 1967 ) employed reinforcement principles
to promote vocational activities in chronic, hospitalized alcoholics. A
simulated economy was devised in which points earned for performance
of work assignments were used to purchase commissary items, clothing,
hospital leaves, recreational opportunities, and room and board on wards
that varied in the comforts and freedom they provided. All members in
this project devoted approximately twice as much time to their work as-
signments as did alcoholics for whom the hospital privileges were not
made contingent upon work performance. In accord with previous find-
ings, this project demonstrates that a simulated economy will control be-
havior as long as the contingencies remain in effect. To test the therapeu-
tic efficacy of this type of program, reinforcement practices would need

to be applied over a long period of time, and extended to a wide range

Alcoholism 549

of behaviors, including drinking behavior under conditions where alco-

holic beverages are readily available.

Modification of Self-Reinforcement Patterns. There is a third class

of alcoholics who experience a great deal of aversive stimulation, not
because of behavioral deficits or unavailability of rewarding resources,
but because they impose exceedingly severe performance demands on
themselves. Events and accomplishments considered worthy of self-

approval by most persons are viewed by alcoholics who have

them- set
selves high standards for self-reinforcement as marginal or inadequate
performances. Consequently, such persons not only deny themselves
warranted gratifications but they also engage in a great deal of self-casti-
gation, from which they periodically escape through alcoholic intoxi-
cation. The primary objective in the treatment of alcoholics who are
escaping from self-generated aversive consequences would involve the
lowering of standards for self-reinforcement, rather than the elimination
of behavioral deficits.

Desensitization of Stress-Provoking Situations. Under conditions

where drinking behavior is strongly controlled by relief from aversive
stimulation, a desensitization form of treatment would constitute the
method of choice. Kraft and Al-Issa (1967a, b) report success in modi-
fying alcoholism by desensitizing clients to stressful interpersonal situa-
tions that typically provoked them Although the sample sizes are
to drink.
too small to draw ( 1967 ) found that alcoholics
reliable conclusions, Blake
who received aversion therapy combined with relaxation training were
better able to maintain complete abstinence over a one-year period than
those who were administered aversive counterconditioning alone. Had
relaxation been deliberately employed to neutralize sources of tension and
anxiety the differences might have been even more marked.
The discussion thus far has focused on the individual methods best
suited for modifying different conditions which may exert control over
drinking behavior. In many cases, achievement of stable changes in
alcoholism requires a combination of treatment procedures in which
people are desensitized to situations they find stressful; they acquire
rewarding patterns of behavior which will become prepotent over
alcoholic self-anesthetization; they develop aversions to alcoholic bever-
ages; and they are taught other self-control techniques for forestalling
drinking in their natural environment.

Social-Systems Approach to the Treatment of Widespread Alcohol-

ism. Counterconditioning, or any other individual treatment approach,
550 AVERSIVE COUNTERCONDITIONING

is of little value in modifying the drinking behavior of Skid Row alco-

holics. The impoverished personal resources of these disadvantaged per-
sons, and the deviant reinforcement contingencies existing within the
Skid Row milieu, serve as powerful influences in shaping a more or less
irreversible alcoholic destiny (Pittman & Gordon, 1958).
The Skid Row subculture provides social aliens a refuge from an
otherwise demoralizing and unrewarding existence, in which few de-
mands are made of its members, anonymity is respected, failures and
deviant tendencies are not condemned, and achievement strivings and
other behaviors that are actively reinforced in the larger society are either
nonrewarded or disapproved (Jackson & Connor, 1953). Within this
milieu, in addition to the low level of aversive control and the adoption
of anti-achievement standards, the major positive reinforcements center
around drinking behavior. Social prestige is largely contingent on being
a good drinking partner and on the ability to get enough to drink without
having to resort to gainful employment. Similarly, most interpersonal
rewards occur during the mutual sharing of alcohol in drinking cliques
or "bottle gangs." These patterns of reinforcement not only promote
continuous inebriation, but by attaching negative values to societal
norms and demands, they also establish barriers to reentry into the
larger community.
Except for repeated incarceration for public intoxication and con-
spicuous violation of other legal codes, Skid Row alcoholics receive
little or no constructive attention. For the most part, they are left to
themselves to control their own behavior according to their own deviant
norms. Therefore the rehabilitation of Skid Row alcoholics must involve
an extensive resocialization process that can be achieved only in a
markedly different environment. If they are to be successful participants in
the larger society, alcoholics must acquire, among other things, a new set
of incentives and behavioral norms, a wide variety of social competencies,
and esteem- and income-producing vocational skills. Social organizations
such as Alcoholics Anonvmous ( 1952 ) may provide some of the learning
conditions necessary for the attainment of resocialization objectives, but
these programs fail to reach those who, on the basis of an extended ex-
tinction history, have little reason to share the societal values, and who are
therefore unlikely to seek rehabilitation voluntarily. Since any radical
change in the alcoholic's social activities will inevitably lose him the
with the drinking subculture, willingness to un-
gratifications associated
dergo relatively extensive behavioral modifications cannot be obtained
without the provision of more rewarding alternatives.
To accomplish fundamental changes in the behavior of persons from
a deviant subculture, it is necessary to create social systems that provide
the necessary conditions for learning new styles of life. Such a system
Ethical Considerations in Aversion Therapy 551

must teach new skills; it must furnish exemplary role models; and it
must embody a set of reinforcement contingencies that will counteract
deviant activities and promote more constructive modes of behavior. It
is interesting to note, as dramatically illustrated by the Synanon approach

to the treatment of drug addiction (Yablonsky, 1965), that these types

of social systems often prove most successful when they are developed by
persons for their own rehabilitation.

Ethical Considerations in Aversion Therapy

The use of aversive procedures in the modification of human be-

havior generally meets with either a cool or a hostile reception on the
part of professional psychotherapists. In some cases aversive techniques
are applied in an ethically objectionable manner that justifies censorious
reactions. For example, exceedingly noxious procedures are occasionally
employed even though they produce no greater changes than stimuli in
much weaker intensities ( Campbell, Sanderson, & Laverty, 1964; Clancy,
Vanderhoof, & Campbell, 1967; Hsu, 1965). Oswald (1962) has pro-
mulgated an ill-conceived procedure in which clients not only receive
massed aversion trials, but are also subjected to disparaging personal
remarks played endlessly on a recorded tape. The rationale for these
needless personal assaults, some of which are recorded in the therapist's
voice, is apparently based on Sargent's (1957) impressions that social
conversions are facilitated by intense emotional crises. Considering that
the verbalizations were "designed deliberately to disturb the patient
emotionally," it is understandable that a number of the clients exhibited
suspicious animosity, unplugged tape recorders, and refused to submit
themselves to this inexorable ordeal. It should be emphasized that the
brainwashing prescription, which is antithetical to practices derived
from learning principles, is better designed to instill marked aversion to
therapeutic agents than to stimulus events that evoke deviant behavior
in clients.
Many of the applications of counterconditioning based on nauseous
drugs employ massed aversion trials in which the procedures are con-
tinuously administered at two-hour intervals over a period of several days.
Raymond, who method, has subsequently ques-
originally devised this
( Raymond, 1964 )
tioned the necessity for such a rigorous regimen Apart .

from ethical considerations, massed aversive experiences can produce

many undesirable side effects that seriously obstruct progress. With
repeated administrations of pharmaceuticals, physical tolerance develops
and drugs become less effective. Therapists are, therefore, forced to
use increasingly larger dosages or less desirable emetic mixtures in
order to induce sufficient emesis ( Cooper, 1963 ) Moreover, persons who
.
552 AVERSIVE COUNTERCONDITIONING

are repeatedly subjected to unpleasant experiences without any reward-

ing respites and opportunities for positive relationships with the therapists
administering the aversive procedures are likely to develop resentment,
antipathy to the entire treatment situation, and escape behavior. Many
clients who have completed a course of aversion therapy may need to
return occasionally for supplementary sessions if they find themselves
reverting to their formerly deviant activities. One effect of a massive
aversive experience is to reinforce strong avoidance of the treatment
situation itself on future occasions, even though a limited reconditioning
experience might yield highly beneficial results. For these reasons, a sub-
stantial amount of positive reinforcement should be incorporated into
aversive conditioning procedures.
If the major purpose of aversion experiences is to provide clients
with a means of exercising control over harmful behavior, then clients
should play an active role in practicing self-control techniques in the
presence of progressively stronger evocative stimuli, rather than serving
merely as passive recipients of stimulus pairings. Thus, for example, in
the treatment of alcoholism, after persons have been taught how to self-
induce nauseous feelings, they should be exposed for increasingly longer
periods to social and stress situations that involve high instigation to
drinking behavior. In this type of program self-control techniques are
developed, repeatedly tested, and adequately reinforced.
The fact that some applications of aversive procedures contain
objectionable features does not warrant a blanket indictment of the
responsible use of aversion therapy (Allchin, 1964; Matthews, 1964)
under special circumstances demanding a more drastic form of therapeu-
tic intervention, any more than one would be justified in condemning

the use of surgical and dental procedures with patients willing to undergo
a brief painful experience in order to alleviate more deleterious and
long-lasting suffering. The brief discomfort occasioned by a program of
aversion therapy is minor compared to the repeated incarceration, social
ostracism, serious disruption of family life, and self-condemnation re-
sulting from uncontrollable injurious behavior. It is a therapist's responsi-
bility to provide clients with information about the treatment alternatives
available to them and which outcomes are most likely to result from
each choice. Given this knowledge, it should be the client's right to
decide what types of treatment, if any, he wishes to undergo.
As noted earlier, aversion therapy has proved least effective with
sexual deviants who are coerced into treatment in an attempt to change
their behavior in the direction of conformity with more conventional
practices. In cases where conduct threatens the welfare of others,
their
they have the choice of either altering their injurious behavior or having
their freedom revoked. There are other forms of sexual activities, how-
Summary 553

ever, which are and

also legally prohibited, such as cross-sex dressing
homosexuality involving consenting have no
adults, that generally
adverse consequences for others. As sexual mores undergo further
changes private consensual sexual behavior between adults will eventu-
ally be legalized. Nevertheless, deviant sexual practices will continue to
be subjected to social ridicule and, hence, to serve as a source of emo-
tional disturbance. After threat of criminal sanctions is removed, persons
who seek to alter their sexual orientation will do so under motivational
conditions that are more favorable for achieving behavioral changes.

Summary
This chapter is primarily concerned with classical aversion treatment
of exceedingly persistent behavior that is maintained by inappropriate,
potentially harmful, or culturally prohibited positive reinforcers. This
stimulus-oriented approach attempts to establish control over behavior
by endowing formerly attractive stimuli or symbolic representations of
deviant activities with negative properties through contiguous association
with aversive experiences. These negative experiences are typically in-

duced by administering nauseous pharmacological agents or unpleasant

shocks, or they may take the form of symbolically revivified feelings of
revulsion.
Aversive counterconditioning is not regarded as a process in which
aversive reactions become directly and automatically attached to formerly
positive stimuli. Rather, the counterconditioning procedure establishes
an aversive self-stimulation mechanism which enables persons to counter-
act the disposition to engage in deviant behavior by symbolically rein-
stating nauseous reactions previously experienced in treatment. The
most direct evidence that conditioned aversions represent, in large part,
self-induced reactions, rather than automatic products of stimulus
pairings, provided by laboratory studies demonstrating that classically
is

conditioned responses are amenable to symbolic control. Viewed from

this perspective, means of self-
aversive counterconditioning creates a
control rather than automatic immunity to addictive or rewarding stimuli.
Aversive procedures have been applied most extensively to harmful
addictive behaviors and to various types of sexual aberrations. Treat-
ment programs aimed at modifying sexual disorders usually involve
differential conditioning of sexual responsiveness, wherein aversion is
developed to fetishistic, transvestite, or homoerotic stimuli, while con-
currently erotic arousal properties are conditioned to heterosexual
stimuli. The summary of results, based mainly on single case studies,
indicates that this mode of therapy can, in addition to eliminating deviant
sexuality, assist in promoting heterosexual behavior, provided that these
554 AVERSIVE COUNTERCONDITIONING

alternative responses already exist in the person's repertoire and that

environmental conditions are favorable for maintaining them. On the
other hand, an exclusively aversive form of therapy is much less effective
in cases where heterosexual behaviors are either lacking or stronglv
inhibited. In the latter conditions, aversive counterconditioning must be
supplemented with procedures designed to develop behavioral patterns
that will enable persons to engage in rewarding heterosexual interactions.
Similarly variable outcomes have been obtained in the countercondi-
tioning treatment of chronic alcoholism. Aversive procedures alone have
proved most successful with alcoholics who possess sufficient personal
resources to derive adequate gratifications from sober behavior. In most
cases, however, the treatment must also be directed toward the conditions
that control drinking behavior. This might involve development of be-
havioral competencies to the point where sober behavior is sufficiently
reinforcing to predominate over anesthetic avoidance; the lowering of
standards for self-reinforcement that result in self-generated aversive
consequences; and, in cases where excessive drinking is controlled by
relief from interpersonal stresses, the desensitization of primary sources
of tension and anxiety.
Of particular interest are studies demonstrating that symbolic events,
which may serve as important internal elicitors of deviant behavior, are
modifiable through aversive conditioning. When imagery possessing
affective value is repeatedly paired with negative experiences, the
symbolic events not only lose their arousal potential but they are less
frequently self-generated. The imaginal counterconditioning is generally
accompanied by reductions in the corresponding behavior.
The major value of aversive procedures is that they provide a rapid
means of achieving control over injurious behavior for a period during
which alternative, and more rewarding, modes of behavior can be
established. A treatment which addresses itself to both stimulus and
response events is most likelv to yield uniformly favorable results because
it not only alters the valence of stimuli that evoke deviant behavior, but
also creates reinforceable response patterns.

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Voegtlin, W. Lemere, F., Broz, W. R., & O'Hollaren, P. Conditioned reflex
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Wolpe, J. Conditioned inhibition of craving in drug addiction: A pilot experi-
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Woodward, M. The diagnosis and treatment of homosexual offenders. British
Journal of Delinquency, 1958, 9, 44-59.
Yablonsky, L. The tunnel back: Synanon. New York: Macmillan, 1965.
Yanushevskii, I. K. Effektivnost' protwoolykogol' nogo techeniya po dannym
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CHAPTER © Symbolic Control
of Behavioral
Changes

Both complex behaviors and even relatively simple performances

that have generally been assumed to represent direct linkages between
external stimuli and overt responses are extensively controlled by sym-
bolic processes. These higher level activities involve, among other things,
strategic selection of the stimuli to which attention is directed, symbolic
coding and organization of stimulus inputs, and acquisition, through
informative feedback, of mediating hypotheses or rules which play an
influential role in regulating response selection.
The introductory chapter considered in some detail questions re-
garding variables that govern the occurrence of symbolic events, the
different forms that mediators may take, and the conditions under which
they exercise cue function in directing overt actions. The present chapter
is focused on the extent to which behavioral change processes are af-
fected by persons' awareness of stimuli impinging upon them, responses
that they are exhibiting, consequences that their behavior incurs, and
the contingencies that exist among the latter events. In addition, rela-
tionships between attitudinaland behavioral changes are reviewed with
particular reference to the development of self-regulatory mechanisms.

Role of Awareness of Contingencies in Behavioral Change

A number been suggested concerning the
of different theories have
is usually subsumed under
functional role of symbolic activities, which
the general term "awareness," in the behavioral change process. The
main alternative views are depicted in a simplified form in Figure 9-1,
Role of Awareness of Contingencies in Behavioral Change 565

Nonmediational Theory

R S
R F^ AWARENESS

Independent- Systems Theory

Rnnnworhal — —S R

^verbal S * R verbal (awareness)

Cognitive Theory

Reciprocal -Interaction Theory

R+
\
\
\
\
\
SR
/
/
/
/
/
AWARENESS R"
Figure 9-1. Schematization of the functional relationship between awareness and
response change. Dashed lines represent temporally contiguous events, arrows
denote causal relationships, and plus signs designate the magnitude of response
change.

following the schematization of Farber ( 1963 ) and Spielberger & DeNike

(1966).
According to the nonmediational theory of learning (Skinner, 1953;
Thorndike, 1933), reinforcing consequences act directly and automati-
cally to strengthen preceding overt responses. While learning occurs
independently of awareness, a person may eventually recognize the
reinforcement contingencies from the high output of correct responses.
In this view, however, awareness is a resultant rather than a precondition
of change.
The independent response systems theory (Verplanck, 1962), which
is a more recent version of the foregoing position, treats awareness as
merely a verbal operant rather than as a factor that controls performance.
Since verbal and nonverbal classes of behavior represent independent
response systems, almost any type of relationship can be obtained be-
tween these two sets of events, depending upon the manner in which their
566 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

governing reinforcement contingencies are arranged. Thus, verbalizations

and actions will be congruent under conditions where the same contin-
gencies are applied to verbal statements and the corresponding instru-
mental responses. On the other hand, verbalizations and actions can be
made to diverge through the application of conflicting reinforcement to
these two forms of response. Since reinforcing stimuli are assumed to
exert automatic control over behavior independently of their effects upon
awareness, this theoretical position also represents a nonmediational
model of behavioral change.
According to the cognitive view (Dulany, 1962, 1968; Spielberger &
DeNike, 1966), which stands in marked contrast to the preceding formu-
lations, awareness is considered a prerequisite for learning and improve-
ment in performance. The information conveyed by reinforcing stimuli,
rather than their response-strengthening effects, is highlighted in this
point of view. It is assumed that, in the course of observing the differential
consequences associated with different types of responses emitted, sub-
jects test various hypotheses about the required response class and even-
tually figure out what they arc supposed to do. The acquired informa-
tion, in turn, gives rise to intentions or self-instructions to produce the
correct responses, the strength of the tendency depending upon subjects'
valuation of the contingent incentives. The magnitude of performance
gains is thus primarily a function of the accuracy of the guiding hypothe-
sisand the incentive value of the consequences. However, no conditioning
can presumably occur without either partial or correct symbolic repre-
sentation of the reinforcement contingencies.
The Postman & Sassen-
reciprocal interaction theory (Farber, 1963;
rath, 1961), on the other hand, assumes that awareness is both a conse-
quent and a condition of behavioral change. According to this view, a
certain amount of learning can take place from the automatic action of
aftereffects, independently of subjects' understanding of the basis on
which reinforcements are administered. During the learning process,
however, subjects not only make overt responses, but they also develop
thoughts or hypotheses about the responses required to obtain reinforce-
ment. These self-generated rules serve as discriminative stimuli for
directing instrumental actions in essentially the same way as external
stimuli control behavior. Accurate hypotheses are likely to be accompa-
nied by correct overt responses, whereas erroneous hypotheses tend to
coincide with inappropriate performances. Consequently, symbolic events
are selectively strengthened, maintained, or extinguished by the differ-

ential reinforcements administered for the more distally occurring overt

behavior.The emergence of awareness may, of course, be facilitated by
performance gains which make the contingencies more obvious. Once
Role of Awareness of Contingencies in Behavioral Change 567

the correct hypothesis is established, it can result in a substantial increase

of appropriate responding, given adequate incentive conditions.
The acquisition of rules and their functions in regulating performance
are typically studied in concept identification and other forms of dis-
crimination learning. In these paradigms subjects must categorize dif-
ferent stimuli on the basis of some common property that the experimen-
ter has arbitrarily selected as relevant for the classification. In more com-
plex situations the correct responses are defined in terms of a combination
of attributes rather than a single common element. Under these circum-
stances, must abstract the relevant stimulus dimensions and
subjects
formulate a rule about how the different attributes combine to specify
the appropriate behavior (Bourne, 1966; Shepard, Hovland, & Jenkins,
1961).
Numerous experiments have been conducted in which subjects are
asked to state the rules they employed for making responses. When
hypotheses are measured after subjects have performed and experienced
the outcome, it is difficult to determine whether the responses were
derived from a rule or the rule was inferred from the correct responses.
This interpretive problem does not arise when rule statements are re-
corded prior to performance and measures are obtained of the degree to
which they control trial-by-trial responding. Studies of this type show
that rules can be strengthened eitherby direct reinforcement or indirectly
through response outcomes and that they serve as a primary determinant
of overt behavior (Dulany & O'Connell, 1963; O'Connell & Wagner,
1967). However, under conditions where stimuli are more complex and
verbal control over responding is not explicitly encouraged, accurate per-
formance often occurs in the absence of adequate verbalized rules
(Hislop & Brooks, 1969).
Several different approaches, some of which were discussed earlier,
have been employed in experimental analyses of the role of symbolic
activities in behavioral change processes. These have included investi-
gations of verbal conditioning rates as a function of awareness of response-
reinforcement contingencies, mediational control of classical conditioning
and extinction, the occurrence of semantic generalization in which a
common cognitive associate of heterogeneous stimuli provides the basis
for generalization, covert verbal control of problem-solving activities,
and the influence of recognition and discrimination of weak stimuli upon
discriminative nonverbal behavior.
The methods of assessing symbolic activities have been equally
some studies awareness is manipulated instructionally through
varied. In
explicit descriptions of the response-reinforcement contingencies given
prior to the conditioning series. More frequently, however, awareness is
568 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

inferred from observations about the experiment reported by subjects

either at periodic intervals during the course of conditioning or in inter-
views conducted immediately following the experimental session. In
other cases, awareness is manipulated indirectlv by arranging conditions
that either facilitate or impede recognition of contingencies during the
acquisition process.

Verbal Conditioning as a- Function of Awareness

Innumerable studies employing paradigms of verbal conditioning
have been conducted in order to determine whether response conse-
quences increase performance primarily by effecting voluntary symbolic
control over available responses or through a process of automatic re-
sponse strengthening. Although the issue of whether learning can occur
without awareness is by no means settled (Farber, 1963; Kanfer, 1968;
Postman & Sassenrath, 1961), most experiments fail to obtain performance
gains in the absence of accurate or at least partially correct hypotheses
regarding the reinforcement contingencies (Adams, 1957; Dulany, 1962;
Spielberger & DeNike, 1966). Subjects who are able to describe the
responses required for reinforcement generally show a substantial increase
in appropriate responses, whereas exposure to reinforcement contingencies
is relatively ineffective in modifying the behavior of subjectswho remain
unaware.
Experiments utilizing post-acquisition measures of awareness furnish
inconclusive results, since it is entirely possible that subjects may initially
condition without awareness and later recognize the reinforcement prin-
ciple employed when it is made more apparent by the increased output of
correct responses. In order to establish whether awareness precedes or
follows behavioral change it is therefore necessary to assess subjects'
speculations about the experimental contingencies at periodic intervals
during the acquisition process. DeNike (1964), for example, asked
college students, who were reinforced for human noun responses in a
word-naming task, to write down their "thoughts about the experiment"
after each block of 25 words during conditioning. On the basis of the
written reports, approximately a third of the subjects were judged to
have gained awareness of the contingency at different points in the series,
while the remainder were categorized as unaware. A control group of
subjects, who were reinforced on a random basis for 10 percent of their
responses, was also included. As can be seen from Figure 9-2, aware
subjects displayed a substantial increase in human noun responses,
whereas unaware subjects, like the control group, showed no performance
gains whatsoever. Of considerablv greater interest, however, is the tem-
poral relationship obtained between the emergence of awareness and the
Verbal Conditioning as a Function of Awareness 569

4-3-2-1 0+1+2+3+4
Before verbalization After verbalization
Word Blocks

Figure 9-2. (A) Mean percent human noun responses given by aware, unaware,
and control groups in the verbal conditioning task. ( B ) Mean percent of correct
responses given by subjects in the aware group prior to and after verbalization
of the reinforcement contingency. Spielberger & DeNike, 1966.

occurrence of large performance increments. Subjects displayed no signif-

icant rise in the number of critical responses before they were able to
report the reinforcement contingency, but they markedly increased their
output of reinforced responses after they had discerned the contingency
governing the administration of social rewards (Figure 9-2). Considering,
however, that each block contained 25 trials, it is entirely possible that
awareness may still have resulted from behavior change during the
block in which the contingency was discerned. A stringent test of media-
tional control of performance changes would require a trial-by-trial in-
quiry.
Results of experiments conducted by investigators who differ widely
in their views regarding the role of awareness in learning consistently
demonstrate that symbolic representation of the conditions of reinforce-
ment has a strong facilitative effect upon overt performance. The empiri-
however, on the question of whether any learning can
cal data diverge,
take place without symbolic mediation.The findings of Dulany, DeNike,
& Spielberger may be contrasted with those of Hirsch ( 1957 ) Philbrick ,

& Postman (1955), and Sassenrath (1962), who likewise have analyzed
570 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

-12 -10 -8 -6 -4 + 2 +4
Before Statement of Principle Position of Block After

Figure 9-3. Average number of correct responses given on blocks of words at

varying distances from the point at which the principle was first verbalized
correctly. Philbrick & Postman, 1955.

performance curves as a function of the temporal appearance of aware-

ness, and find small but significant improvements in performance prior
to correct statement of contingencies, particularly among subjects who
eventually developed complete awareness (Figure 9-3). Evidence of
verbal conditioning without awareness is usuallv dismissed by staunch
adherents to cognitive explanations as probablv either the result of in-

sensitive methods for gauging awareness, or the operation of partially

correct hypotheses.
Although virtually all investigators subscribe, albeit uneasily, to the
same operational definition of awareness (i.e., correct verbalization of
response-reinforcement contingencies), a number of factors may lead to
inaccuracies and inconsistencies in composing aware and unaware groups
of subjects. First, awareness is usually treated as an all-or-none phenom-
enon, when in fact it may vary in accuracy from a correct determination,
through partiallv correlated hvpotheses, to highly misleading notions
about why the subject is being rewarded. As Adams (1957) has noted,
partially correct formulations (e.g., a subject believes that the experi-
menter is interested in comments about people when actually familial
Verbal Conditioning as a Function of Awareness 571

references is the correct response class) can produce some increases in

performance. Because criteria of awareness are somewhat arbitrary, the
types of relationships obtained between events are partly dependent upon
the stringency of definitions employed by different investigators.
A second major complication in the assessment of awareness arises
from the fact that a number of other variables, quite apart from the
amount of relevant information possessed by the subject, may contribute
to the types of verbal reports that are obtained.
Awareness is frequently inferred from responses to a series of pro-
gressively more suggestive interview questions. Therefore, the number of
subjects judged to be aware is determined to some extent by the number
and nature of informative cues conveyed by the interview probes. The
more intensive the questioning the less the likelihood that partially aware
subjects will be erroneously categorized as unaware, but also the greater
the danger that the assessment procedure itself may induce recognition
of the correct contingency that did not exist at the time of conditioning.
Thus, Levin ( found evidence of learning without awareness when
1961 )

subjects' discernment of contingencies was estimated from a brief inter-

view, whereas categorization of the same subjects on the basis of their
replies to a more extended specific inquiry yielded a peculiar set of
results, in which subjects who were unaware of both the contingency
and the reinforccr displaved as much conditioning as subjects who were
fully aware, and a higher rate of response than a group that was only
aware of the reinforcing stimulus. While this irregular pattern of relation-
ships does not support the common assumption that comprehensive as-
sessments furnish more valid measures, it should be noted that early stud-
ies of verbal conditioning, which reported relatively high incidences of

learning without awareness (Krasner, 1958), generally relied upon brief

examinations that may not have been sufficiently sensitive to detect partial
degrees of awareness. The unreliability of post-acquisition reports of
awareness is further underscored by Weinstein & Lawson (1963), who
found that interviews of the kind widely employed in this line of research
yielded complete awareness in only half the subjects who had been
fully informed, midway through the experiment, of the contingencies
and the entire purpose of the study. Based upon criteria utilized in earlier
experiments, approximately half the sample would have been misclassi-
fied and their improved performances interpreted as evidence for learning
without awareness.
In addition to the influence of the type of measurement procedures
employed, the likelihood that subjects will report awareness is reduced
if they are examined by a female or a person of low status (Krasner,

Ullmann, Weiss, & Collins, 1961), if a negative valence is attached to the

reinforced class of responses (Krasner & Ullmann, 1963), if they feel hos-
572 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

tile toward the experimenter (Weiss, Krasner, & Ullmann, 1960), and if

they obtained information about the contingencies spuriously (Levy,

1967). Morever, there is some evidence (Rosenthal, Persinger, Vikan-
Kline, & Fode, 1963) that experimenters who are biased to expect a high
incidence of awareness obtain more frequently than those who assume
it

it to be a relatively uncommon phenomenon.

It is possible to control, to some extent, for the operation of experi-

menter bias by relying upon written reports rather than interview pro-
cedures, which provide greater opportunities for inadvertent influence
of respondents' accounts. Also, reluctance to disclose provisional judg-
ments about the experiment, and intentional distortions, might be
effectively counteracted by the provision of positive incentives which
would maximize verbalization of the information that subjects do possess.
It is evident from the data cited above that if much importance is to be
attached to studies of symbolic mediation of learning based upon infor-
mation provided by subjects, then extensive research is needed to identify
the variables influencing reported awareness with a view toward further
improving the accuracy of such measures.
Because of the numerous problems associated with phenomenological
data, some researchers have recommended that awareness be relegated
to the status of a dependent variable and treated as a verbal operant.
This type of approach decisively solves a technical problem at the ex-
pense of a potentially influential independent variable which, under some
conditions, can exert more powerful discriminative control over behavior
than reinforcement variables ( Ayllon & Azrin, 1964; Dulany, 1968; Kauf-
man, Baron, & Kopp, 1966).
Granted all the deficiencies of verbal reports as indicants of subjects'
based on the temporal relationship between
level of awareness, findings
awareness and performance nevertheless indicate that one can predict
with considerablv greater accuracy performance increments during the
course of conditioning by taking into account subjects' hypotheses than
if self-instructional influences are disregarded.
The host of methodological and interpretive problems associated with
post-acquisition measures of awareness can be easily avoided by the use
of research procedures in which knowledge about reinforcement con-
tingencies is experimentally induced rather than inferred from subjects'
verbal reports. Experiments in which subjects are informed of the appro-
priate responses and their consequences prior to conditioning disclose
substantial symbolic regulation of overt performances.
Situations of social conditioning contain a number of different ele-
ments of which a person might become aware. These separable events
include the environmental cues eliciting his behavior, the class of re-
sponses considered appropriate to the situation, the occurrence and
Verbal Conditioning as a Function of Awareness 573

scheduling of reinforcements, and the contingent relation between the

Some of the experiments in which awareness is
latter classes of events.
manipulated experimentally have been specifically designed to compare
the relative efficacy of insight into the different aspects of the behavioral
influence process. Dulanv (1962), for example, found that students who
were informed about the correct response-reinforcement contingency
and those who received only response instructions markedly increased
their output of correct responses compared both to their baseline rates
and to the performance of control groups who were apprised only of the
reinforcing events or given no information. The latter groups, in fact,
exhibited no significant improvements in performance. In this study,
knowledge of the desired behavior was the critical determinant, since
the addition of reinforcing consequences in the form of either tones,
"Um-hmms," or omission of electric shocks did not augment the change
process.
In a subsequent study Dulanv (1968) had students perform a verbal
conditioning task in a chamber kept at a temperature of 110° and
utilized a contingent stream of air of cither 70°, 100°, or 150° as positive,
neutral, or negative reinforcers for different groups of subjects. Students
within each of the reinforcement conditions were also given different
reinforcement instructions: that the stream of air signified a correct re-
sponse, an incorrect response, or had nothing to do with their per-
formance. Dulanv found that reinforcement instructions exercised greater
control over conditioning performance than did the nature of the rein-
forcing consequences.
The findings of Dulany are, in large part, corroborated by Kaufman,
Baron,& Kopp (1966), who provided students with complete or minimal
information about the required response, and either accurate or erroneous
knowledge concerning the schedule according to which rewarding con-
sequences would be administered. One group of students was accurately
informed that rewards would be forthcoming each minute on the average
(variable interval schedule), whereas other groups were misled into
believing that their behavior would be reinforced either on a fixed in-
terval of one minute, or after they had performed 150 responses on the
average (variable ratio schedule).
Inspection of Table 9-1 reveals that knowledge about the required
behavior markedly increased subjects' rate of responding. Even more im-
pressive, however, is the finding that illusory schedules governed stu-
much the same way as they do in reality: Fixed
dents' responsiveness in
produced very low rates, variable ratio instructions
interval instructions
maintained an extremely high response output, and variable interval in-
structions generated intermediate rates of response. Alleged schedules
thus outweighed the influence of the program of reinforcement that was
574 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

actually imposed on students' behavior. A further study disclosed that

reinforcement had little effect upon performance rate under conditions

of minimal response specification, but students who had received variable

ratio instructions combined with monetary rewards were approximately
twice as productive as those who were furnished the same schedule in-
formation without any reinforcing consequences. Instructional influences
can be equally powerful in regulating responsiveness under aversive
contingencies. Simply exposing subjects to punishing contingencies
proved to be an extremely "inefficient way of altering behavior, whereas
instructions about the appropriate behavior and its consequences immedi-
ately produced stable and discriminated avoidance behavior (Baron &
Kaufman, 1966; Scobie & Kaufman, 1969).

table 9-1 Median Number of Responses Performed per

Minute as a Function of Information about
the Required Response and Alleged Schedules
of Reinforcement (adapted from Kaufman,
Raron, & Kopp, 1966)

Response Rale

Experimental Condition First 30 Min. Last 30 Min.

No schedule information
Minimal response instruction 17 17
Complete response instruction 161 161
Schedule information
Variable inter\ al 88 43
Fixed interval 5 7
Variable ratio 250 269

noteworthy that among persons who have achieved complete

It is

awareness the extent to which this knowledge continues to govern their

behavior during extinction depends upon the type and schedule of rein-
forcement applied during the acquisition process (Hirsch, 1957).
The experiments of Ay Hon & Azrin (1964), in which highly persistent
behavior of psychotics was modified in naturalistic settings, reveal that
when discrepancies exist between verbally represented contingencies
and actual consequences, instructional influences lose their potency over
time, and behavior comes more extensively under the control of the
prevailing conditions of reinforcement. These data underscore the neces-
sity for exercising considerable caution in generalizing about the relative
efficacy of cognitive and reinforcement variables on the basis of exceed-
ingly brief experiments conducted with cooperative college sophomores
who are offered trivial rewards for performing inconsequential responses
that require little expenditure of effort, under conditions where they are
Verbal Conditioning as a Function of Awareness 575

expected to participate in experiments in partial fulfillment of course

requirements.
The findings of investigations in which awareness is experimentally
induced are in accord with those furnished by studies relying upon
report-inferred measures. We return now to the major controversial issue:
Is awareness a prerequisite for behavioral change? Proponents of cogni-

tive theories have been unable to find any evidence of verbal condition-
ing in the absence of correct or correlated hypotheses, whereas Postman
and his colleagues report, on the basis of experiments involving more
complex reinforcement contingencies, that a significant amount of learn-
ing can take place prior to verbalization of the basis for reinforcement.
These divergent conclusions do not appear to be attributable to any
major differences in the definition and assessment of awareness. Nor can
they be accounted for in terms of the operation of partially correct
hypotheses, since the use of partially relevant hypotheses in the concept
learning task did not facilitate performance (Hirsch, 1957; Postman &
Sassenrath, 1961), and the phenomenon is evident even when awareness
is defined to include partially correct verbalizations (Sassenrath, 1962).
Some additional suggestive evidence of behavioral change without
awareness is furnished by investigations involving more complex tasks,
such as probability learning, in which persons predict alternative events
or outcomes that vary in their frequency of occurrence. In these situa-
tions, persons' choice behavior gradually adjusts to the event probabilities
even though the vast majority of subjects are not only unable to state the
probability rules, but frequently entertain quite erroneous hypotheses
(Goodnow & Postman, 1955).
Discrepancies in results may, in part, result from the complexity of
the principle governing the administration of reinforcement and the re-
sponse restrictions imposed by the nature of the learning task. Studies
in which verbalization is accompanied by dramatic performance gains
have generally involved relatively explicit response classes or simple dis-
crimination tasks in which subjects are asked to construct sentences by
selecting one of several personal pronouns or verbs printed on cards.
When the critical response class is unambiguous and the response alterna-
tives are severely curtailed, both awareness and "learning" are most
likely to occur as a one-trial event rather than as an incremental process.
Considering the feeble and inconsequential nature of the reinforcers
employed in most verbal conditioning experiments, one might seriously
question whether reinforcement processes, which presumably govern
automatic response-strengthening effects, are even operative in most of
the studies that have been reviewed. This issue is, of course, of little or
no concern to researchers who are quite content with a circular empirical
law of effect. Nevertheless, it is important to distinguish between the
576 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

informational and incentive properties of feedback stimuli, both of

which may enhance correct responding (Keller, Cole, Burke, & Estes,
1965). Flashing lights, buzzer noises, and ambiguous guttural sounds
can convey to subjects adequate information for altering their behavior,
but it is exceedingly doubtful that such feedback events have much
rewarding value as determined independently of response changes on the
conditioning task.
In view of the fact that verbal conditioning procedures are designed
to augment the production of existing responses under conditions where
both response and reinforcing events are highly salient, the findings may
have more relevance to issues of social conformity than to conditioning.
Although the verbal conditioning paradigm is adequate to demonstrate
the facilitative role of awareness upon performance, it is poorly suited
to throw much light on the more basic theoretical issue of whether aware-
ness is a prerequisite for learning or performance change.
The question
of whether learning must be consciously mediated can
be answered most decisively by studies in which the reinforced responses
are not observable to the performer, or the reinforcing events are devoid
of informational cues but of sufficient rewarding value to activate mecha-
nisms regulating reinforcement effects. Either of the latter conditions
would effectively preclude recognition of the contingency employed.
The studies discussed earlier, in which correct responding in animals
was significantly increased by intravenous presentation of nutritive solu-
tions, would seem to dispute the radical cognitive view. Such reinforcing
events are not observable and, therefore, convey no information to the
subject.
There is evidence that covert responses, such as invisibly minute
thumb be successfully conditioned in adult humans
contractions, can
without their of the rewarded responses (Hefferline &
observation
Keenan, 1963; Hefferline, Keenan, & Harford, 1959; Sasmor, 1966). These
studies provide further convincing demonstrations of how persons learn
to respond in accordance with reinforcement contingencies without ap-
propriate symbolic mediation. In the latter experiments subjects are
equipped with several sets of electrodes, ostensibly to measure their
ability to relax. A visually imperceptible thumb contraction of a pre-
selected magnitude, detected by the experimenter through electromyo-
graphic amplification, then selected for modification through reinforce-
is

ment either in the form of monetary rewards or termination of aversive

stimulation. Responses in the chosen amplitude category increase sub-
stantially during reinforcement and decline abruptly after reinforcement
is withdrawn. As might be expected, none of the subjects could identify
the response that produced reinforcement.
Apart from the laboratory findings, it is difficult to believe that pla-
Interactive Effects of Cognitive and Incentive Variables 577

naria, goldfish, and other lower organisms, which lack the anatomical
structures for adequate symbolic representation of environmental events,
are totally unaffected by response consequences until they have ac-
curately cognized their experimenter's contingencies. Implicit mediators
would, of course, assume an important role in governing performance
in tasks that require response on the basis of relatively complicated prin-
ciples or rules.
The overall evidence would seem to indicate that learning can take
place without awareness, albeit at a slow rate, but that symbolic repre-
sentation of response-reinforcement contingencies can markedly acceler-
The validity of this view, which assumes
ate appropriate responsiveness.
between awareness and performance gains, seems
a reciprocal interaction
even more probable when one realizes the limitations of paradigms of
verbal conditioning for elucidating the role of symbolic activities in
behavioral change processes.

Interactive Effects of Cognitive and Incentive Variables

Although awareness of environmental contingencies is usually accom-

panied by some gains in performance relative to baseline rates, the abso-
lute level of responsiveness after the contingencies have been either
ascertained or divulged remains comparatively low. That is, performance

increases are generally in the order of 20-30 percent, which can hardly
be considered a massive outpouring of correct responses. It is also ex-
tremely likely that if the experiments were extended beyond the usual
single session, symbolic control, in the absence of supporting incentives,
would decrease over time and the desired behavior might eventually
return to its original level. Moreover, even in short-term situations em-
bodying high demand characteristics, a significant number of aware
subjects never do show any change in their behavior (Farber, 1963).
Hence, the findings of verbal conditioning studies, rather than demon-
strating the potency of symbolic control, in fact illustrate the limitations
of approaches that rely primarily upon cognitive variables to effect be-
havioral changes. The experiments do provide considerable evidence,
however, that awareness combined with incentive-related variables can
exert a powerful influence over behavior.
Spielberger, Bernstein, & Ratliff (1966) compared the response rate
of aware and unaware subjects during an initial phase of the experiment
in which "Mm-hmm" served as the reinforcer, and after an effort was
made to bolster the incentive value of the utterance by challenging sub-
produce as many "Mm-hmms" as they possibly could. Students
jects to
who remained unaware throughout both phases of the study showed no
evidence of conditioning; those who discovered the contingency prior
 .

578 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

uu
95 A
Aware (pre)
90 -
Aware (post)
85 -
Unaware
80 -
75 -
70 -
65 -
60 -
55
50
45
40
35
30
25
20

15

10

5 _ ^^-^
i

21234567
|

Operant Reinforced Word Blocks

Figure 9-4. Mean percent of correct responses given during the baseline (A),
low-incentive (B), and high-incentive (C) phases of the experiment by sub-
jects who either discovered the reinforcement contingency prior to or after the
incentive manipulation or remained unaware throughout the experiment. Spiel-
berger, Bernstein, & Ratliff, 1966.

to the incentive manipulation displayed moderate improvements in per-

formance followed by extremely high response rates under the height-
ened motivational conditions; a third group of subjects, who became
aware after the incentive manipulation, exhibited an intermediate level
of responding ( Figure 9-4 )
Studies in which reinforcing properties of the feedback events are
evaluated by subjects Spielberger, Berger, & Howard, 1963; Spielberger,
(

Levin, & Shepard, 1962) rather than being varied independently like-
wise disclose that, among aware subjects, those who prize the reinforcers
show a high output of criterion behavior. By contrast, aware subjects who
are indifferent to, or annoyed by, experimenters' guttural utterances may
perform some correct responses in order to confirm their speculations, but
otherwise they are about as unproductive as their unaware counterparts.
In addition to the influence of incentives specifically associated with
the desired behavior, more generalized sets may determine the extent to
Symbolic Control of Classical Conditioning Phenomena 579

which persons will behave in accordance with their knowledge of social

contingencies. Farber (1963) and Holmes (1967) found that aware sub-
jects with cooperative dispositions displayed a sharp increase in rein-
forced responses, but nonconforming aware subjects showed relatively
change in behavior and did not differ in this respect from subjects
little

who remained unaware.

While awareness typically facilitates performance, where the correct
responses carry negative connotations, awareness may exert inhibitory
effects upon performance, as shown in the study by Ekman, Krasner,
& Ullmann 1963 ) Among aware subjects, those who were led to believe
( .

that the verbal conditioning task exposed personal debilities exhibited

fewer responses during reinforced trials compared to their baseline rates,
whereas those who were informed that the task measured empathy and
warmth toward people showed a substantial increment in reinforced re-
sponses. On the other hand, groups of unaware students who received
the same negative and benign sets displayed relatively small response
gains and did not differ from each other.
It is apparent from the research thus far reviewed that awareness of
reinforcement contingencies has greater behavioral consequences under
laboratory conditions than appears to be the case in naturalistic or psy-
chotherapeutic situations. This difference may be attributable to several
factors.Based upon the findings previously discussed, one would not
expect development of insight into social contingencies to produce much
change in behavior if the customary incentives are weak, delayed, or only
sporadically applied, as is often true in realistic circumstances. Second,
the responses chosen in experimental studies (e.g., plural responses,
verbs, personal pronouns, emotion-arousing words) are readily available
within subjects' repertoires, and the task is primarily a matter of response
selection rather than response acquisition. In most behavioral change
programs, on the other hand, individuals must develop behavior requisite
to bring them into contact with prevailing contingencies, rather than
merely gaining information about what one would have to do in order to
obtain reinforcement. Acquired insights, no matter how valid they may
be, have limited utility for individuals who lack the necessary per-
formance skills. The case is analogous to informing English monolingual
students in verbal conditioning experiments that the criterion responses
are Hindustani adjectives.

Symbolic Control of Classical Conditioning Phenomena

Consistent with findings from studies of instrumental conditioning, re-
sults of numerous investigations of classical conditioning (Grings, 1965)
reveal extensive mediational control of conditioned autonomic responses.
580 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

This process has been demonstrated in several different ways. In one

experimental approach to the problem, subjects are informed that the
CS will sometimes be followed by shock; they are then given a sample
shock or a single confirmation trial during the acquisition series when
autonomic responses to the CS are measured. The studies (Bridger &
Mandel, 1964; Cook & Harris, 1937; Dawson & Grings, 1969) show that
autonomic responses are readily conditioned through association of
stimulus events with anticipatory emotional responses.
Data of this sort have led to suggestions that a distinction be drawn
between genuine conditioning and perceptual or relational learning
(Grings, 1965; Razran, 1955). Implicit in this dichotomy is the assump-
tion that conditioned emotional responses established through instruc-
tional manipulations represent a "pseudo-conditioning" phenomenon. An
alternative conceptual scheme, which has the potential of elucidating the
process without proliferating unnecessary varieties of learning, would
hold that conditioning based upon the occurrence of actual versus im-
agined events mainly involves differences in the locus of the emotion-
producing stimulus rather than in the governing mechanism.
It is extremely unlikely that verbal association of events alone is suffi-

cient to establish conditioned responses, since a stimulus capable of

activating the autonomic responses is also required. There is consistent
evidence from studies in which autonomic responses are continuously
recorded during desensitization sessions (Clark, 1963; Mackay & Laverty,
1963), and from controlled laboratory investigations (Barber & Hahn,
1964), that imagined aversive events can produce emotional effects anal-
ogous to the actual occurrence of aversive stimulation. These findings
indicate that subjects can acquire conditioned responses in the absence
of an externally administered UCS to the extent that prior instructions
lead them to generate fear-producing thoughts in conjunction with the
CS. On the other hand, verbal instruction alone would not be expected
to produce any conditioning in subjects who did not engage in appro-
priate covert self-stimulation. According to this self-arousal formulation,
instructional conditioning may represent a variant of the basic condition-
ing paradigm in which autonomic responses are cognitively induced
rather than directly elicited by aversive stimuli under the experimenter's
control.
The foregoing conceptualization implies that, rather than representing
a simple process in which external stimuli are directly and automatically
connected to overt responses, classical conditioning is partly mediated
through symbolic activities. In the mediational interpretation, the CS
elicits covert symbolic activities that produce autonomic responses. Some

suggestive evidence for the influential role of self-stimulation in instruc-

tional conditioningis provided by Dawson (1966), who found that the
 )

Symbolic Control of Classical Conditioning Phenomena 581

degree of belief in instructions that shock would follow a certain signal

and the amount of anticipation of shock were positively correlated with
extent of autonomic conditioning.
The influential role of mediational variables in classical conditioning
is also supported by other lines of evidence. Fuhrer & Baer (1965), for
example, demonstrated that subjects who recognized the CS-UCS rela-

tionship while undergoing differential conditioning of GSR responses

demonstrated considerable autonomic conditioning. In contrast, subjects
who remained unaware of the stimulus contingencies did not respond
differently to auditory stimuli that were associated with shock and to
those never paired with aversive stimulation. Dawson & Grings ( 1969
have likewise shown that masked CS-UCS pairings, which impeded
recognition of the stimulus contingency, were not sufficient to condition
discriminative autonomic responses.
In order to ascertain if covariations in symbolic behavior and con-
ditioned responses do involve a causal relationship, Chatterjee & Eriksen
(1962) conducted an experiment in which awareness of the stimulus con-
tingencies was manipulated in advance. One group of subjects was in-
formed that a shock would only follow one particular word in a chain
association task, but that aversive stimulation would be discontinued at
a clearly designated point in the experiment. A second group was told
that although shock would always follow a particular word in the list,

each of the remaining words would be paired once with aversive stimula-
tion and eventually shocks would cease altogether. A third group was
instructed that a certain number of shocks would be administered during
the experiment without implying a regular contingency. Subjects in the
first two groups, all of whom discerned the correct word-to-shock rela-
tionship, displayed conditioned heart rate responses, whereas subjects
who received minimal information and remained unaware evidenced no
conditioning. The controlling power of symbolic events is further shown
by evidence that aware subjects exhibited strong autonomic responses
to the critical stimulus but they did not generalize these responses
inappropriately along either semantic or physical dimensions. Moreover,
those who were informed when the extinction phase commenced showed
a prompt and virtually complete loss of conditioned responses before
experiencing any nonreinforced presentations of the conditioned stimulus.
In accord with the above finding, the most striking evidence of sym-
bolic control of classically conditioned responses is provided by studies

in which extinction of autonomic responsiveness is compared in subjects

who are told that there will be no further aversive stimulation and in
those who remain uninformed. Induced awareness of the change in
stimulus contingencies generally results in rapid and practically complete
disappearance of conditioned responses to the CS ( Cook & Harris, 1937;
 .

582 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

Grings & Lockhart, 1963; Wickens, Allen, & Hill, 1963). The decrement
ismost sudden and dramatic when subjects who, despite assurances to
the contrary, suspect that they might continue to be shocked are excluded
from the analysis (Bridger & Mandel, 1965). On the other hand, under
circumstances where arousal level is maintained and the operation of
cognitive factors is curtailed by disguising the conditioning procedures
(Spence, 1966), extinction proceeds at a comparatively slow rate after
reinforcement has been discontinued.
Although a strong causal relationship has been established between
cognitive variables and rate of classical conditioning and extinction, it

should not be concluded that all conditioned responses are necessarily

consciously mediated. It seems extremely unlikely that in the case of
interoceptive conditioning either the conditioned stimulus (e.g., intestinal
distention) or the unconditioned stimulus (e.g., chemical stimuli pre-
sented internally) are symbolically represented. In these, and other ex-
periments employing internal stimulative procedures (Razran, 1961), the
contingencies are undoubtedly operating below the threshold of aware-
ness.
There is also some evidence to indicate that the strength of symbolic
control partly depends on the conditions under which emotional behavior
was originally acquired. Bridger & Mandel (1964) found autonomic con-
ditioning was similar regardless of whether the CS was associated with
threat of shock alone or with threat and shock stimulation ( Figure 9-5 )
However, emotional responses established on the basis of actual painful
experiences were less susceptible to cognitive control. Whereas threat-
conditioned responses were promptly abolished by removal of electrodes
and information that shocks would be discontinued, emotional responses
produced by painful stimulation were much more resistant to extinction.
The latter findings lend support to the view that conditioned responses
typically contain dual components (Bridger & Mandel, 1965). One of
the component parts, which is produced by the self-arousal mechanism,
is readily manipulable by varying emotion-provoking cognitions. On the

other hand, the nonmediated component is directly evoked by external

stimulus events and requires discontinuing experiences for its extinction.
A study by Mandel & Bridger (1967) of the interaction between
cognitive influences and stimulus contingencies lends further validity to
the view that conditioning outcomes typically reflect the operation of
both associative processes and symbolic generative mechanisms. Sub-
jects who were informed that no further negative reinforcement would
occur showed marked decrements in conditioned autonomic respond-
ing; nevertheless the rate with which the response extinguished differed
depending on the order in which conditioned and unconditioned stimuli
Symbolic Control of Classical Conditioning Phenomena 583

6.00 r
5.50

5.00

4.50

4.00 h
3.50

3.00

2.50 Threat pseudo- conditioning »_ _ _#

2.00 Shock pseudo-conditioning #»* ~~« ~«#

1.50

1.00 -~~.
0.50 v vr.
_l 1 L I I I I L
0.00 I I I I I

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 1 2 3 4 5 6 7 8

Acquisition Extinction

Trials in Moving Blocks of Three

Figure 9-5. Mean GSR responses during acquisition and extinction for groups of
subjects for whom the CS was associated with either threat of shock alone or
threat plus shock. The pseudo-conditioning curves show the subjects' GSR re-
sponses to control stimuli that were never paired with either threat or shock. The
latter data provide a control for the effects of general arousal and orienting
mechanisms. Bridger and Mandel, 1964.

were presented during the acquisition period and on the temporal interval
between these stimulus events.
The nonmediational theory of classical conditioning assumes that, in
order for conditioning to occur, the associated stimulus events must at
least be registered in the nervous system of the organism. Therefore, in
studies assessing the role of awareness in conditioning, it would be of

considerable value to obtain evidence that there has, in fact, been input
from the conditioned stimulus. It is not inconceivable that in experiments
employing masking procedures, in which subjects' attention is diverted
to irrelevant features of the task, the conditioned stimuli may not be
registered in a sufficiently consistent manner to produce stable condi-
tioned responses. Hernandez-Peon, Scherrer, & Jouvet (1956) provide
evidence, based upon neurophysiological studies, that attention focused
on a particular stimulus simultaneously reduces afferent signals activated
by other sensory stimuli. The evoked auditory potential in the cochlear
nucleus of cats to a loud auditory stimulus was virtually eliminated when
they gazed at mice, attentively sniffed fish odors, or received electric
shocks that distracted their attention. Horn (1960) has demonstrated a
similar diminution of neural responses to a light flash during active
attention to other visual and auditory cues. Although there is some
584 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

dispute about whether the attenuation of sensory signals results from

mechanisms operating at the periphery or at more central levels, there
is no doubt that neural responses to afferent input can be substantially

reduced by attending behavior directed toward irrelevant stimulus

events.
Even absence of an experimentally induced diverting set, some
in the
subjects may
choose to attend closely to extraneous stimuli, and thus
fail to achieve appropriate registration, recognition, or conditioning.
Under these circumstances, the absence of learning may be erroneously
attributed to lack of conscious recognition when, in fact, it derives from
deficient stimulus registration. The most decisive demonstration that
awareness is a necessary precondition for learning would require evi-
dence adequate stimulus registration, classical conditioning
that, despite
does not occur without awareness of the stimulus contingency.

Implications of Symbolic Control

for Behavioral Modification

The therapeutic potential of symbolic processes has not been fully

exploited although, contrary to common belief, behavioral therapies rely
heavily upon effects which are cognitively produced. This is particularly
true of desensitization treatments which imagined stimulus events
in

are characteristically employed to evoke emotional responses that ordi-

narily occur to the actual stimuli. In some variants of this approach
emotion-neutralizing responses are likewise induced symbolically. It is
true that the therapist exercises a certain degree of instructional con-
trol over the timing and duration of clients' implicit activities, but no
deconditioning effects are likely to ensue unless clients engage in appro-
priate cognitive representation of the suggested sequence of events. As
noted in an earlier chapter, most desensitization methods represent a
form of cognitive countci conditioning in which either the anxiety re-
sponses, the anxiety-neutralizing responses, or both sets of events are in
large part symbolically controlled.
A similar higher-order conditioning process is involved in the modifica-
tion of addictive or compulsive forms of behavior by means of aversive
cognitive counterconditioning (Cautela, 1966; Miller, 1959, 1963). In
the application of this procedure, individuals tvpically visualize the ob-
jects which they are markedly attracted and immediately revivify
to
upon individual case
strong nauseous reactions. Preliminary results based
studies, which were reviewed in the preceding chapter, indicate that
conditioned aversions and avoidance responses can be established in this
manner.
Implications of Symbolic Control for Behavioral Modification 585

The material discussed earlier attests to the fact that the most rapid
and enduring changes in instrumental behavior are achieved when
knowledge of contingencies is supplemented with appropriate reinforcing
consequences. In interview approaches interpretations of probable con-
tingencies and suggestions for preferable courses of action are offered
repeatedly, but favorable outcomes are rarely arranged. On the other
hand, practitioners utilizing reinforcement procedures carefully plan
the necessarv behavioral consequences, but often fail to specify the basis
for the reinforcement. It is apparent from the influential role played by
cognitive variables in change processes that in an optimal treatment
program change agents should designate the conditions of reinforcement
in addition to arranging the requisite response consequences.
There is a further potential application of knowledge of symbolic
control that is well worth exploring. It has been amply demonstrated that
behavior is partly regulated by its immediate consequences. Extensions
of this principle to the phenomenon of self-regulation (Bandura &
Perloff, 1967; Ferster, Nurnberger, & Levitt, 1962) provide evidence that
people can exercise a certain degree of control over their own behavior
by arranging favorable contingencies for themselves. Extending this notion
of self-management a step further, it is entirely possible that individuals
may be able to control and alter their behavior by symbolically produced
consequences.
Many forms of behavior that eventually create adverse social or
physiological effects are strongly maintained by their immediately rein-
forcing effects. If the remote consequences could be moved forward, or
if other types of negative outcomes were applied to the incipient pre-
cursors of the behavior, its occurrence might be significantly reduced.
In most cases, this rearrangement of consequences is difficult to achieve
by manipulating actual reinforcing However, there is some sug-
events.
gestive evidence that symbolized outcomes possess reinforcing proper-
ties that are similar to their physical equivalents. Weiner (1965) found

that both imagining aversive consequences and the actual occurrence

of the same negative events reduced responding compared to a condition
involving no feedback, although imagined outcomes produced somewhat
weaker reductive effects. These findings add credence to the view that
overt behavior can be partly regulated by covert self-reinforcement
operations.
Possible applications of this form of behavioral control are discussed
briefly by Homme ( 1965 ) in a paper concerned with the conditioning of
implicit responses. In dealing with such problems as excessive cigarette
smoking, overeating, and other activities which produce immediate and
automatic reinforcing effects, the individual selects numerous aversive
consequences of the behavior which can be employed as covert negative
586 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

reinforcers. When he wishes to smoke, for example, he immediately sym-

bolizes the aversive effects of smoking, or revivifies other negative experi-
ences. To the extent that sufficiently strong aversive consequences of
smoking can be created by anti-smoking ideations, smoking may be
significantly reduced. Such implicitly produced consequences, if effective
at all, are likely to exert greatest controlling power when applied to
weaker incipient forms of the behavior than when the response tendency
is quite compelling, or after the behavior has already been performed.

In the above examples cognitive activities are employed in a con-

tingent manner as reinforcing events to reduce the incidence of overt
behaviors. Often certain trains of thought produce strong emotional re-
sponses or disruptive effects upon behavior, in which case the problem
becomes one of controlling the symbolic events themselves. In its less
extreme but more prevalent form, this type of dysfunction tends to
hamper persons' efficiency and productivity. As Dollard & Miller (1950)
point out, productive and creative work requires, among other things,
sustained attention to the task at hand. Any interruptions from without,
or intrusion by irrelevant thoughts from within, temporarily halt ongoing
activities. Whereas the physical environment can be arranged so as to

minimize external distractions, attainment of control of one's thoughts

presents a much more challenging problem.
The most direct and effective means of reducing emotion-arousing
intrusive thoughts is to modify their eliciting conditions by the types of
procedures discussed in preceding chapters. Nevertheless, ruminations
about upsetting experiences inevitably occur in everyday life and hence
persons must develop effective means of ideational self-control which
can be utilized whenever the need arises. By far the most prevalent, as
well as the most futile, approach to this problem is to advise others simply

to banish disturbing thoughts from their minds.

If a person is to achieve greater voluntary control over his thought

processes he must manipulate variables which are capable of eliciting and

sustaining competing ideational activities. This can be achieved in several
different ways. The simplest is by effecting changes in attentional re-
sponses. That perturbing trains of thought can be promptly turned
is,

off by directing one's attention to absorbing events which elicit supersed-

ing cognitive activities. form of self-control, in which
Indeed, this

thought-produced arousal is diminished by engrossment in absorbing lit-

erary material, televised programs, vocational and avocational pursuits,
and other engaging projects, is widely practiced inadvertently. Individ-
uals could undoubtedly exercise greater self-control over their thought
processes and attendant emotional responses through more deliberate
use of prepotent activities which are kept in reserve for this very purpose.
Discrepancy between Response Systems and the Unconscious 587

Although the discussion thus far has highlighted the possible tran-
quilizing effectsof attentional changes, they can serve a preventive
function as well. In many cases, a relatively weak external stimulus may
elicit a particular train of thought which, through its associative connec-
tions, activates further ideational contents capable of generating strong
emotional responses. By interrupting this associative sequence in its early
stages, the occurrence of thought-produced arousal may be forestalled
altogether.
Assuming that symbolic activities obey the same psychological laws
as overt behavior, it should be possible to influence significantly the
nature, incidence,and potency of covert events. The difficulties in detect-
ing the presence of implicit responses present a major obstacle to their
control by reinforcement practices if one adheres to the conventional
paradigm in which an external agent monitors the occurrence of the
desired behavior, imposes the contingencies, and administers the rein-
forcers. However, as Homme (1965) points out, the occurrence or ab-
sence of covert events can be easily and reliably detected by the per-
son doing the thinking. Consequently, such responses are most readily
conditioned through self-reinforcement operations. In this type of ap-
proach implicit responses are self-monitored, the contingencies are self-

prescribed, and the consequences self-produced.

Homme suggests that Premack's (1965) differential-probability hy-
pothesis any highly preferred activity has reinforcing capabilities)
(i.e.,

might be utilized to good advantage in the contingency arrangement and

selection of self-reinforcers. That is, the strength and incidence of cer-
tain classes of thoughts can be increased by making preferred activities
contingent upon their occurrence. Presumably depressive, infuriating, and
other vexatious ruminations could be displaced by self-reinforcement of
more constructive lines of thought. However, in view of the dearth of
information regarding the conditionability of implicit events, develop-
ment methods must await thoroughgoing analysis
of efficacious treatment
of thought control processes as influenced by external or self-monitored
reinforcement operations, by attentional changes, and by other self-manip-
ulable factors.

Discrepancy between Response Systems

and the Unconscious
The discussion thus far has emphasized cognitive control of autonomic
and instrumental behavior under conditions where both the environ-
mental stimulus supports and the reinforcing events are easily recogniz-
able. Of equal interest, particularly for theories of personality, is the
588 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

observation that persons sometimes display discriminative autonomic or

motor responsiveness without conscious recognition of eliciting stimuli
that are too weak for reliable identification. Traditional explanations of
such phenomena have tended to invoke a potent psychic entity in the
form of an "unconscious mind" which supposedly possesses sensitive dis-
criminating capacities. According to this interpretation, the unconscious
mind which occur below the level
readily perceives threatening stimuli
of awareness, and the ego mobilizes various defensive mechanisms to
cope with them and keep them out of awareness.
Considerable research has been conducted over the years, principally
by Eriksen (1958, 1960), to evaluate the empirical status of subliminal
discrimination and conditioning. Results of these rigorously designed
investigations, along with other findings, lend support to an alternative
conception of the characteristics of unconscious processes.
In the typical paradigm subjects are presented a series of neutral
and negatively valenced visual stimuli at about threshold value, and
observers' nonverbal responses (autonomic or motor), as well as verbal
responses to the stimuli, are recorded concurrently. A major controversy
arose in connection with evidence originally reported by Lazarus &
McLeary (1951) that subjects frequently displayed conditioned auto-
nomic responses to aversive stimuli in the absence of correct verbal rec-
ognition of the stimulus sequence. The authors interpreted these data as
demonstration of unconscious discrimination. Although the findings were
not disputed, their explanation as support for the existence of a "subcep-
tion" process was vigorously challenged by Eriksen (1958) and Goldia-
mond (1958) on methodological grounds.
In studies of this sort, the definition and method of establishing
thresholds provide one major source of error. In most instances the
threshold is defined as the stimulus value at which verbal recognition
is about 50 percent correct. Hence, a subject can, in fact, discriminate

at better than chance level a stimulus below the arbitrary statistical

threshold. Therefore, occurrence of conditioned autonomic responses at
slightly better than chance expectancy does not represent a compelling
demonstration of unconscious discrimination. Of much greater signifi-
cance is evidence (Eriksen, 1960) that subliminal conditioning or dis-

crimination rarely occurs when the relevant stimuli are below recogni-
tion level.
A second methodological problem arises because verbal reports can
be influenced by nonsensory factors. Subjects are generally reluctant to
admit the presence of a faint stimulus when they are unsure, a negative
response bias that is likely to raise the verbal threshold artifactually. A
cautious person would obtain a verbal threshold much higher than is,
Discrepancy between Response Systems and the Unconscious 589

in fact, the case, thus producing a large, spurious subliminal effect.

Feigned nonrecognition is most likely to occur when subjects are pre-
sented socially censured content such as taboo sexual words.
In addition to the influence of propriety and subjective confidence
upon verbal reports, verbal responses do not convey the finer discrimina-
tions made by subjects when they are required to classify their perceptual
experiences in terms of a few discrete verbal categories. Pseudo-sublim-
inal effects may arise from the differential accuracy of continuous auto-
nomic responses and discrete categorical responses at the verbal level.
The fact, however, that discrepancies in response systems exist even
when subjects are allowed a more refined set of verbal responses, and
motor responses are substituted for an autonomic measure (Eriksen,
1957), indicates that discriminative behavior can occur without accurate
verbal labeling of the relevant stimulus events.
As Eriksen points out, the question of whether a more sensitive dis-
criminatory mechanism exists at an unconscious level can be answered
most directly by comparing the thresholds of different response systems.
This procedure involves conditioning an autonomic response to a supra-
liminal stimulus and then comparing the incidence of accurate verbal
recognition and concurrent autonomic responsiveness to the stimulus
presented above and below threshold. Using this method, along with a
verbal response measure that controlled for negative reporting bias,
Dulany & Eriksen ( 1959 ) found that physiological and verbal response
systems were equally insensitive to low stimulus values, but verbal re-
sponse was the superior discriminator at intermediate and high levels of
stimulation.
Although the above findings provide no evidence for unconscious
responding to threatening stimuli too weak to produce awareness, never-
theless discrepancies between simultaneous responses to environmental
cues do occur and hence require explanation. The latter phenomenon,
rather than being attributed to the regulating influence of egos, super-
egos, or other psychic agents operating within an unconscious mind, can
perhaps be more plausibly and parsimoniously conceptualized in terms
of discrepancy between partially independent response systems, a view
for which Eriksen provides considerable empirical support.
When two responses appear more or less concomitantly with a series
of sensorv stimuli, the nature of the relationship between these events
remains obscure. It may be that conscious recognition of threatening
stimuli evokes the autonomic responses; the occurrence of discriminative
autonomic responses may produce correct verbal recognition; or the
two modes of response may be elicited independently by the environ-
mental stimulus. In an effort to unravel the relationships among variables
590 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

in "subception" studies, Eriksen conducted a series of experiments in

which verbal recognition responses and concurrent motor or autonomic
responses were each correlated with the eliciting stimuli, with the influ-
ence of the concomitant response variable partialled out statistically. By
this method of analysis it is possible to determine what relationship, if
any, exists between autonomic responses and sensory stimuli when differ-
ences in awareness are eliminated. Results of these experiments consist-
ently show that verbal and autonomic modes of behavior represent
parallel response systems .that are both reactive to sensory stimulation
and are partially independent of each other. The findings furthermore
provide no evidence that persons respond autonomically or motoricallv
in a more sensitive and accurate manner than they do at the conscious
verbal level.
Variables that affect symbolic, physiological, and motor response sys-
tems differentially would be expected to reduce the degree of correlation
between different classes of reactions. To the extent that certain factors
impair the accuracy of measurement of one class of behavior without
affecting another, response disparities will obtain even though the two
systems are, in fact, highly congruent. Extraneous variables are most
likely to exercise a high degree of control when persons are responding
to stimuli that are too weak to override the effects of more salient char-
acteristics of the situation.
Genuine disparities among different classes of behavior can be pro-
duced through the application of differential reinforcement. Thus, if
hostile thoughts and verbalizations are approved or permissively accepted
but overt aggressive actions are consistently punished, persons will
readily verbalize aggressive feelings without exhibiting any of their motor
equivalents. Similarly, by reversing the reinforcement contingencies one
could effectively inhibit cognitive representations of behavioral manifes-
tations. It should likewise be possible to produce other patterns of corre-
lations by varying systematically the contingencies of reinforcement into
which the responses enter.
Most of the material in the preceding sections treats unconscious
phenomena as internal and environmental events which are not repre-
sented in awareness. Some theories, however, consider it important to
distinguish between the preconscious and the unconscious. In this dis-
tinction the preconscious comprises mental elements which are readily
accessible to consciousness bv directing the subject's attention to them.
On the other hand, the unconscious includes elements which are rela-
tively inaccessible to awareness and which can be made conscious only
by removing strong resistance, preferably through interpretive treatment.
In view of the questionable validity of psychotherapists' speculations
Discrepancy between Response Systems and the Unconscious 591

about unconscious contents, accessibility to consciousness, as inferred

from degree of resistance, is an exceedingly unreliable criterion upon
which to build a structural theory of mental functioning. If an individual
refuses to acknowledge certain thoughts or impulses suggested to him
by his therapist, the question remains whether the resistance reveals re-
pressed contents or justifiable incredulity in the face of erroneous inter-
pretations. For example, it would be a mistake to conclude that a person
who vigorously opposed interpretations that certain of his deviant be-
haviors represented derivative manifestations of a clandestine and power-
ful "zoognick," did in fact possess an unconscious "zoognick" held in
check by strong repressive forces. As noted earlier, when the interpretive
process is viewed from a framework of social influence, the degree of
opposition shown by clients, and the amount and type of elements which
eventually emerge from their hypothesized unconscious depend, in large
part, upon psychotherapists' prestige, credibility, belief systems, and other
extraneous factors.
Although one might seriously dispute whether the existence of un-
conscious psychic events can be reliably established through psycho-
therapeutic methods, there is no doubt that thoughts and other implicit

activities can be effectively inhibited. Thought inhibition is traditionally

attributed to the mechanism of repression, which is believed to operate
largely at unconscious levels. It is further assumed, particularly in
psychoanalytic formulations, that repressed elements not only maintain
a dynamic life of their own, but are charged with a cathexis of drive
energy which continuously presses for discharge either directly or in
derivative form. Opposing psychic agents which assume defensive and
prohibitive functions maintain the repression by expending a portion
of the psychic energy at their disposal.
In behavior theory the phenomenon ascribed to repression is con-
ceptualized in terms of processes of avoidance conditioning. If certain
thoughts are repeatedly associated with painful experiences, they grad-
ually become endowed with aversive properties. Since thoughts are
private events, they can be affected only indirectly by reinforcing
operations. One way in might come about is through the
which this
process of response For example, the experiment by
generalization.
Miller (1951), which was discussed earlier, demonstrated that anxiety
attached to a spoken word tends to generalize to the thought of the word.
Also, since thoughts typically precede or accompany overt responses,
implicit events may acquire the capacity to arouse anxiety through
their close temporal proximity to punished instrumental acts.
Once certain thoughts come to function as conditioned aversive
stimuli, their occurrence generates anxiety and their elimination allays it.
592 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

As shown experiment by Eriksen & Kuethe (1956), inhibition of

in the
anxiety-provoking thoughts is usually achieved through simultaneous

occurrence of competing ideational activities. Students were asked to

associate to a series of words, and they were punished by electric shock
every time they responded with associations given initially to five arbi-
trarily selected words. Punished associations declined rapidly, whereas
nonpunished word associations remained unchanged as items were
repeated. Some indications that punishment eliminated responses at the
implicit level rather than merely produced deliberate word substitution
are shown by the fact that replacement of initially dominant associates oc-
curred in students who were unaware of the basis for shocks or that their
associations had changed; the inhibitory effects also persisted on a
somewhat different association task in which the threat of aversive stimu-
lation was removed.
In social-learning interpretations of repression, incompatible responses
rather than psychic agents are considered to be the inhibitory forces. It
should also be noted that the various mechanisms of defense are defined,
for the most part, by the characteristics of the behavior that competes
with and supersedes negatively valenced tendencies. For example, if a
person who is and actions
instigated to hostility exhibits positive thoughts
toward the thwarting agent he is engaging in reaction formation; if he
should become irritated at a blameless person he is exhibiting displace-
ment; if he avoids unpleasant thoughts by becoming preoccupied with
competing ideational content and attendant rituals he is resorting to
obsessive-compulsive defenses.
Social-learning theory not only makes no appeal to prohibitive psychic
agents in accounting for the inhibitory process, but it differs from
psychodynamic approaches also in the assumptions made about the
nature of inhibited response tendencies. While formerly punished re-
sponses may retain their capacity to generate emotional effects if they
are activated, it is not assumed that they lead a dynamic existence
within an unconscious mind, that they possess a drive energy which must
be reduced periodically, that they press continuously for discharge in
one guise or another, or that they require unceasing restraint to con-
fine them in the unconscious domain. Rather, it is assumed that inhibited
behavior propensities remain inert unless activated by appropriate stimu-
lation. Under circumstances where the incompatible controlling responses
to the same stimuli are clearly dominant and therefore readily evoked,
the punished behavior is unlikely to reach even the incipient level. On
the other hand, when punished responses are strongly established and
competing tendencies are not completely dominant, inhibited responses
may be aroused to the point where they generate conflict and anxiety.
A repressed element, according to this view, does not have a qualita-
Discrepancy between Response Systems and the Unconscious 593

tively different nature from any response that has been superseded by an
alternative pattern of behavior.
Apart from its more secure empirical status, the concurrent response
system model has many advantages over formulations which assume the
existence of an unconscious mind. The former conceptualization does not
lend itself to pseudo-explanations in which a descriptive label for response
disparities is and assigned causal properties for example, dis-
reified —
crepancy between symbolic and motor or physiological responses to the
same stimulus events is given the descriptive label of "unconscious," which
is then converted into an internal agency that exercises powerful control

over behavior. The multiple-response-systems interpretation of phenom-

ena designated as unconscious also encourages systematic exploration of
the variables which give rise to response disparity. Finally, the theory has
important treatment implications. Given the existence of independent
but partially correlated modes of response to significant stimuli, the
psychotherapist can profitably concentrate his efforts on direct modifica-
tion of the classes of response that the treatment is designed to alter,

rather than embarking on a protracted search for unconscious causative

agents that one can predict in advance will prove to be highly concordant
with the therapist's particular theoretical predilections.

COGNITIVE EFFECTS OF SUBLIMINAL STIMULATION

The studies reviewed in the preceding section investigated uncon-

scious phenomena mainly in terms of discrimination of weak stimuli.
Klein and his collaborators (Klein, Spence, Holt, & Gourevitch, 1958;
Spence, 1964; Spence & Holland, 1962) have employed a somewhat
differentapproach to the problem. The effects of subliminal stimulation
are measured, not on autonomic or recognition responses, but in terms
of indirect indicators of cognitive changes.
In most of these experiments neutral rather than threatening stimuli
are presented at levels which apparently are sufficiently intense to
register and evoke some response in the central nervous system, but the
sensory input is either too faint or too brief to produce full recognition
or correct identification of the stimulus events. In other studies a verbal
stimulus, which presented briefly well above identification level, is
is

imbedded competing stimuli and, therefore, may not be recalled

in other
even though it has been fully registered. Numerous indirect measures of
unconscious activation have been employed, such as the inclusion of
similar stimulus elements in fantasy production (e.g., stories given to
projective tests, drawing, dreams); increased tendency to give related
responses to items in a word-association test; cognitive elaboration of
a neutral stimulus in terms of the affective tone of preceding subliminal
cues; and arousal of responses belonging to the same associative network.
594 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

Two conflicting hypotheses have been proposed regarding the

characteristics of subliminal stimulation. According: to the continuity
view of perceptual processes, the effects of subliminal stimuli are similar
to those of recognized stimuli; since the magnitude of influence varies
with the intensity of input, however, the former are less potent. The
opposing theory, on the other hand, assumes that the effects of subliminal
stimulation are more diffuse and pronounced than those produced by
supraliminal stimuli because, in the former case, the restricting effects of
consciousness upon thought* are removed. This formulation, which was
originallyadvanced by Freud (1953). assumes that preconscious and
conscious influences obey different laws, with stimuli which operate
outside of awareness being less bound by logical and reality-oriented
controls.
These alternative views cannot be evaluated empirically because it has
yet to be reliably demonstrated that subliminal stimulation does in fact
influence cognitive activities to any appreciable degree. Research of this
type is plagued by even more difficult methodological problems than
the approaches to unconscious phenomena reviewed earlier. As was
true of the research on "perceptual defense," the question of whether
one is dealing with a genuine phenomenon or with a methodological
artifact is of continuing concern. Interpretations of findings always
remain doubt because subjects who display subliminal effects may be
in
partially aware of the stimulus patterns before reporting them so that
die stimulation is actually at or above recognition threshold. Since sub-
liminal stimuli rarely appear in cognitive performances in direct form.
investigators must search for indirect, distorted, or remote symbolic
representations in order to obtain at least a few scorable responses for
most subjects. To complicate matters further, no objective criteria are
available for identifying distorted or transformed representations, and
high inter-scorer reliability is often difficult to achieve.
Evenif one includes the altered guises that unrecognized sensory

input presumably takes, the effect of subliminal stimulation upon

cognitive functioning is exceedingly weak and. in some cases, it is wiped
out completely when sources of artifact such as associative clustering
effects are controlled Worell & Worell. 1966 |, and base rates of indirect
(

manifestations are obtained from subjects who have never been exposed to
the subliminal stimuli Johnson & Eriksen. 1961
|
It would appear from
.

the elusiye and scanty yield of research in this area that subliminal acti-
vation must play a relatiyely inconsequential role in regulating human
behayior. Whereas recognizable stimuli assume a powerful behavior-di-
recting function, nonrecognized stimuli have, at best. weak, inconsistent,
and fragmentary psychological effects.
Attitudinal Consequences of Behavioral and Affective Changes 595

Attitudinal Consequences of Behavioral

and Affective Changes

RELATIONSHIP BETWEEN ATTITUDINAL AND BEHAVIORAL CHANGES

In most instances change agents who strive to alter people's attitudes

are not interested in attitudes per se. Although the influence procedures

are designed to change evaluations and preferences concerning certain

persons, commodities, or activities, the principal aim is to modify be-
havior. Thus, for example, the intent of persuasive efforts is to get people
to buy particular brands of merchandise, to vote for certain candidates,
to engage in or to abandon smoking, or to pursue various other courses
of action. The attitude-change approach is selected as a means of in-
fluencing behavior when the desired behavior cannot be directly elicited
and reinforced for practical or other reasons.
It is widely assumed that attitudes are important determinants of

overt actions and consequentlv that any changes brought about in the
attitudinal domain will have widespread effects upon subsequent be-
havior. It is further believed that altered response patterns that are
accompanied by correspondingly altered attitudes will be more stable
over time than behavior that is induced directly without cognitive sup-
ports. For these and other reasons, the development of beneficial attitudes
is often regarded as a major objective of social change endeavors. If it is

demonstrated that attitudinal changes do, in fact, have significant be-

havioral consequences, it would be of considerable import to devise
efficacious procedures that might be specifically directed toward the
modification of attitudes.
A voluminous literature has accumulated over the years concerning
attitude change through exposure to persuasive communications, which,
because of their extensive mass application, constitute the prevailing in-
fluence technique explored in this field. Considering the multitude of
publications and the powerful controlling functions assuredly conferred
upon attitudes, it is surprising to find that a thorough search of this
literatureby Festinger (1964) yielded a dearth of studies in which the
influence of attitude change upon behavior had been specifically investi-
gated. Nor has the yield of pertinent studies increased noticeably in more
recent years. The available data, though admittedly meager, disclose
that changes in attitudes produced by persuasive communications gener-
ally have little or no effect upon overt actions (Fleishmann, Harris, &
Burtt, 1955; Levitt, 1965; Maccoby, Romney, Adams, & Maccoby, 1962).
In contrast to these findings, Greenwald (1965a) reports a positive, but
low, correlation between attitudinal and behavioral changes. However,
596 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

for subjects who express a prior commitment counter to the influence

attempt, communications alter attitudes but produce no
persuasive
significant change in behavior (Greenwald, 1965b). These apparently
conflicting results may partlv reflect differences in the nature and im-
portance of the behavior undergoing change, the time elapsing between
assessment of changes in attitudes and behavior, and the order in which
these two sets of events are measured. There is some reason to expect
(Cohen, 1964) that changes in these two forms of response will be more
highly correlated when attitudes are measured following, rather than
prior to, performance of discrepant behavior.
The failure to obtain consistent and high relationships may be inter-
preted in several ways. It is possible that responses to questionnaires
and self-ratings, which constitute the dependent variables in most social-
psvchological research, are unreliable indicants of people's actual opin-
ions and been shown (Schanck, 1932), for example, that
attitudes. It has
privately held attitudes often differ markedly from those that are publicly
espoused. Persuasive communications may thus elicit compliance to
implied situational demands without significantly affecting people's
private attitudes.
A second explanation, suggested by Festinger (1964), is that atti-

tudinal changes resulting from persuasive influences are relatively un-

stable and will, therefore, disappear unless the corresponding overt
behavior is sustained by adequate consequences. This view assumes that
attitudes produce temporary performance changes; however, when
environmental contingencies do not support the new activities individuals

revert to their old behavior and the newly established attitudes are
similarly altered to coincide with the actions.
The relative modifiabilitv of attitudes and actions, and the degree of
correspondence obtained between changes in these two sets of events,
may vary with the affective and social consequences accompanying the
behavior. A given social influence might produce analogous changes in
both attitude and action when persons are indifferent to, or favorably
disposed toward, performing the advocated activities. Most attempts to
control consumer behavior through persuasive communications would
fall in this category. Thus, for example, a person who is considering

purchasing a television set may be prompted to buy an expensive color

console after being convinced by persuasive commercials that it provides
more pleasurable viewing than a black-and-white set. is The process
more complicated, however, when persons resist advocated behavior
that they can perform because it results in self-devaluation. This is

illustrated by situations in which people are induced to behave in ways

that conflict with their beliefs. Obstacles to change also arise when
individuals are amenable to engaging in desired activities but are unable
Attitudinal Consequences of Behavioral and Affective Changes 597

to do so because of strong fears and inhibitions. In the latter instances,

a weak method may alter responses that are readily susceptible to change,
svMi as verbal evaluations, but fail to modify overt behavior that is
rendered intractable by its adverse consequences. A relatively powerful
influence would be required to achieve correlative changes in different
types of response systems. Unlike the inconsistent effects of persuasive
communications, desensitization and modeling approaches are capable
of producing correlated changes in refractory behavior and attitudes.
These positive relationships range from r = .39 when changes in attitudes
are measured by the semantic differential technique to r — .59 and
r = .72 for change scores based on a variety of attitude scales ( Bandura,

Blanchard, & Ritter, 1968; Blanchard, 1969)'.

Correlated changes, when they do occur, may reflect the operation of
several different mechanisms. According to most contemporary attitude
theories, some of which will be reviewed later, there is a drive to main-
tain consistency among beliefs, feelings, and actions. A change in any
one of the components will, therefore, engender congruous modifications
in the other constituents. In these consistency models, changes in attitudes
or behavior are treated, not as consequent events, but as causal variables
that affect other forms of behavior. An alternative interpretation is that
environmental influences have similar but independent effects on feelings,
beliefs, and behavior. In and behavior
this view, consistencies of belief
represent correlated coeffects outcomes of a process in
rather than
which modification of one tvpe of behavior produces changes in other
forms of responding.
Definitive tests of the parallel effects and consistency explanations of
change processes are precluded by the absence of a methodology that
would permit simultaneous measurement of beliefs, affect, and actions.
If incongruity creates an internal stimulus for psychological change then

a sequential testing procedure confounds the effects of external influences

and the consistency drive. Conversely, a given environmental influence
could have similar consequences on different classes of response that
would be erroneously ascribed to the operation of a consistency drive.
These alternative formulations perhaps should be regarded as com-
plementary rather than conflicting. Under most conditions, powerful
stimulus events produce diverse psychological changes, and performance
of new behavior is likely to have additional cognitive and emotional
consequences.
In many respects, the question of whether attitudes regulate overt
behavior might be considered a pseudo-issue created by arbitrary dis-
tinctions between different types of response. An attitude is variously
defined as a disposition to behave favorably or unfavorably toward a
given object (Brown, 1965); an organization of valenced cognitions
598 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

combined with a predilection for motive arousal (Newcomb, Turner, &

Converse, an affective evaluative response toward an object
1965);
(Rosenberg, 1960); or an implicit anticipatory mediating response
(Doob, 1947). Like most implicit tendencies, attitudes are characteristi-
cally inferred from various forms of overt behavior rather than identified
by some independent criterion. Consequently, if self-ratings were treated
as a class of behavior rather than assigned special status as indicants of
an internal mediator which is given substance and endowed with influ-
ential regulatory powers,then the issue of the relationship of attitude to
behavior might be more meaningfully conceptualized as a problem of
correlation between different response systems. From this point of view,
there exists no intrinsic relationship between these two sets of responses,
since they can be either highly correlated or dissociated depending upon
their respective contingencies of reinforcement.
The differentiation between attitudes and overt actions disappears
completely when the former are primarily inferred from nonverbal
behavior, as is generally the case in interpretations of naturalistic phe-
nomena. For example, a person who displays antagonistic responses or
actively avoids members of a given ethnic group is believed to have a
negative attitude, whereas he is assumed to possess a positive attitude if
he exhibits approving amicable reactions. In such circumstances, the issue
of whether attitudes influence behavior reduces to the meaningless
question of whether a particular response pattern determines itself!
It should be emphasized that the foregoing discussion is not intended

to minimize the role of symbolic mediators in human functioning, but

rather to call attention to the conceptual difficulties created by a lack of
independent measures of covert tendencies designated as attitudes. As
a result, it is often difficult to ascertain whether investigators are dealing
with superfluous abstractions from behavior, with coeffects of operations
of social influence, or with causally related events.
Much of the ambiguity that prevails in this field might be reduced
and the theoretical issues more precisely delineated if the indeterminate
concept of "attitude" were abandoned altogether. Rather, the basic issue
posed earlier might be rephrased as follows: To what degree, and under
what conditions, do changes brought about in either cognitive, affective,
or motor classes of behavior have reciprocal effects? It might be argued
that there would be some value in retaining the attitude construct, apart
from its shorthand labeling function, if it were used to represent the
higher organization processes that are inferred from specific behavioral
manifestations. However, in view of the substantial evidence (Bandura
& Walters, 1963; Mischel, 1968) that human behavior is markedly spe-
cificand extensively regulated by discriminative cues, reinforcement con-
tingencies, and other external events, there is reason to question the
Strategies of Attitude Change 599

utility of theoretical formulations that invoke unitary mediators that

cannot possibly serve as determinants of heterogeneous responses that are
not intercorrelated to any appreciable degree.
In an effort to account for behavioral specificity within an attitude
theory framework, Rokeach ( 1966 ) has advanced the view that social
behavior is determined by sets of interacting attitudes —one activated
by the attitude objects, and the other elicited by the situation. He right-
fully argues that in many instances situational influences, which have
been neglected in attitude theory, may outweigh the response-eliciting
effects of the attitude object. Hence, individuals often display quite
different attitudes toward the same attitude object in different social
situations. A theory that predicts on the basis of both
attitudinal responses
subject and situational variables would undoubtedly have greater predic-
tive power than one relying solely on subjects' evaluations of the attitude
object in undefined contexts. The controlling properties of situations
primarily reflect differences in reinforcement contingencies as they apply
to attitudinal behaviors expressed in diverse social contexts. One might
achieve even greater predictive efficacy by treating attitudes as evaluative
responses that are under reinforcement and discriminative stimulus con-
trol, as is anv other form of behavior.

Strategies of Attitude Change

BELIEF-ORIENTED APPROACH

Three general approaches can be employed either singly or in various

combinations to induce attitudinal changes. The informational or belief-
oriented approach attempts to effect modifications in people's attitudes
by altering their beliefs about the attitude object through exposure to
various forms of persuasive communications. It is assumed that people
can be induced to change their evaluations of an attitude object by
presenting them with new information about its characteristics.
Most of the research generated by
informational approach
this
(Cohen, 1964; Hovland & Janis, 1959; Hovland, Janis, & Kelley, 1953;
Rosenberg et al., 1960) has been expressly designed to isolate the condi-
tions under which a given communication will have its maximal effect
upon recipients' attitudes. Three general sets of variables, namely the
nature of the communicator, the communication, and the recipients,
have been most extensively investigated. Studies of the persons being in-
fluenced have generally been concerned with their personality character-
istics, the level of their intelligence or sophistication, the nature of their
pre-existing attitudes, and the strength of their commitment to a given
position. The effects of communicator variables in enhancing attitudinal
600 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

modification are typically analyzed in terms of attributes such as ex-

pertness, trustworthiness, prestige, impartiality, social power, and con-
cealment of the persuader's manipulative or propagandistic intent. The
form and organization of persuasive arguments, which can also signifi-
cantly influence attitude formation and change, involves such matters as
the optimal order of presenting weak and major arguments, the sequence
of supporting and opposing arguments, the degree of explicitness with
which conclusions are stated, the amount of repetition, the degree of
discrepancy between the subject's views and the ones advocated, the
affective properties of the contents, and whether the influence program
relies upon a one-sided presentation or also includes some consideration
and refutation of counterarguments. Research findings show that the
effects of these different variables rarely produce simple effects; rather
their direction and magnitude are dependent in part upon the simultane-
ous influence of other factors. For example, the amount of attitude
change may increase as a direct function of degree of discrepancy of
opinions advocated bv a highly respected source, whereas a less credible
persuader may exert a decreasing influence the more divergent his
opinions (Aronson, Turner, & Carlsmith, 1963; Bergin, 1962). To compli-
cate matters further, a given variable may have differential immediate
and long-term effects upon attitudes. With the passage of time, relevant
content may be retained but the source forgotten, thus reducing initial
credibility influences (Hovland & Weiss, 1951; Hovland, Lumsdaine, &
Sheffield," 1949; Kelman & Hovland, 1953).
Most of the preceding investigations of persuasive communications
have been primarily guided by a set of empirical principles rather than
a systematic theory. However, these principles are organized around the
basic assumption that attitude change is governed to a large extent by
anticipations convened through communications of rewarding and pun-
ishing consequences for certain courses of action. A competent or
prestigious communicator is generally more influential than a less com-
petent one because the former's behavioral recommendations, if executed,
are more likelv to result in favorable outcomes. As noted below, the con-
tent of communications often includes incentive references or is expressly
designed to alter the valence of the attitude object.
Although belief changes can be induced by exposure to communica-
tion stimuli, there is little evidence that mere presentation of information
about the attitude object alters people's behavior toward it to any great
extent. Higher-order conditioning processes are therefore frequently
employed to augment the potency of persuasive communications. One
method, which relies upon the phenomenon of vicarious reinforcement,
increases the likelihood that an observer will respond in the recom-
Strategies of Attitude Change 601

mended manner by depicting reinforcing consequences accruing to a

performing model. In positive appeals, performance of the behavior
suggested by the communicator results in a host of rewarding effects.
Thus, smoking a certain brand of cigarettes or using a particular hair
lotion wins the loving admiration of voluptuous belles, enhances job
performance, masculinizes one's self-concept, actualizes individualism
and authenticitv, tranquilizes irritable nerves, invites social recognition
and amicable responsiveness from total strangers, and arouses affectionate
reactions in spouses. Laboratory studies (Bandura, 1968) disclose that,
according to their nature, depicted consequences to a performer not
only facilitate or inhibit response tendencies, but their effects may out-
weigh the previously acquired value system of the viewers (Bandura,
Ross, &Ross, 1963).
Negative appeals, on the other hand, portray the adverse conse-
quences which result from failure to comply with a communicator's be-
havioral recommendations. Although vicarious punishment may inhibit
existing response dispositions to some extent, it is a less reliable procedure
for producing desired attitudes and corresponding patterns of behavior.
Display of noxious or revolting outcomes tends to arouse strong emo-
tional responses which may give rise to avoidance of disturbing material
and associated recommendations (Janis, 1967) or endow the attitude
object itself with negative valence.
Belief changes achieved by persuasive arguments may temporarily
increase the likelihood of advocated courses of action, but it is doubtful
that this type of approach can by itself produce enduring effects unless
favorable incentive conditions, which govern persistence of induced
changes, are arranged as well. That is, if a person were to act on his
beliefs, the effects of adverse outcomes would eventually negate the
influence of persuasive communications. An uncomely brunette, for
example, who has been persuaded that "blondes have more fun" may
dye her hair a flaxen tint, but if her dismal dating plight should remain
unchanged she is likely to discard the belief and revert to her natural
hue.
Some research indicates that susceptibilitv to counterinfluence and
rate of extinction of newly established beliefs can be temporarily at-
tenuated by preparatory communications (Janis & Herz, 1949, cited in
Hovland, Janis, & Kelley, 1953; McGuire, 1964). These serve to stimulate
rehearsal of refutations of opposing arguments or to instill expectations
in recipients that although they will at first encounter failure experiences
and other adverse outcomes, if they adhere to their convictions they
will eventually achieve success. A person who has been led to anticipate
unfavorable initial outcomes may discount subsequent failures for a
602 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

time. However, where discrepancies exist between assumed and actual

schedules of reinforcement, both his behavior and his beliefs probablv
will gradually adjust to existing reinforcement conditions.
Because of ease of application, persuasion techniques presented
through verbal or pictorial devices are widely employed on a mass
basis in efforts to control consumer behavior, to influence voting choices,
and to indicate either positive or negative evaluative responses toward
particular attitude objects and The efficacy of mass per-
social issues.
suasion methods is often diminished, however, by the limited control
that influence agents can exercise over people's attention to communi-
cation stimuli, and by lack of direct means of immediately reinforcing
the audience members for performing the recommended behavior. On
the other hand, under conditions where selected communication stimuli
are capable of attracting and holding viewers' attention and the advocated
actions do, in fact, result in favorable consequences, mass appeals may
initiate lasting changes in people's beliefs and behavior.

AFFECT-ORIENTED APPROACH

A second general strategy for inducing attitudinal changes involves

an affect-oriented approach. In this paradigm, both evaluations of, and
behavior toward, particular attitude objects are modified by altering
These emotional changes are typically achieved
their affective properties.
through procedures based upon the principle of classical conditioning.
As shown in preceding chapters, attitudinal and behavioral reversals
can be produced by contiguous association of objects that are highly
positive in valence with noxious experiences in aversive forms of counter-
conditioning, or by pairing subjectively distressing stimuli with positively
reinforcing events in desensitization operations. The most convincing
demonstrations of transfer effects of emotional reconditioning are fur-
nished by studies in which the affective properties of attitude objects are
independently measured, usually in terms of appropriate physiological
indices, with adequate controls for nonspecific social influences (Marks
&Gelder, 1967).
Although the use of association principles to facilitate attitudinal
changes has been widespread, there has been surprisingly little research
into the effectiveness of this approach. There is some evidence that
evaluative responses can be altered by presenting persuasive messages
or objects contiguously with appetizing foods (Janis, Kaye, & Kirschner,
1965; Razran, 1938), unpleasant odors (Razran, 1940), or sexually
arousing stimuli (Smith, 1968). In an effort to determine whether
extraneous gratification facilitates attitudinal change by a conditioning
mechanism or by creating a positive attitude toward the donor, Dabbs
& Janis (1965) compared the attitudinal effects of food consumption
Strategies of Attitude Change 603

occurring contiguously or noncontiguously with exposure to persuasive

messages under two different endorsement conditions. For half the sub-
jects theexperimenter positively endorsed the messages while for the re-
maining subjects he personally disagreed with the conclusions advocated
by the communication. Neither the contiguity nor the endorsement vari-
able alone produced a significant effect, but contiguous food combined
with positive endorsement increased acceptance of unpopular opinions.
These findings, however, must be accepted with reservation because
attitude measures are of questionable validity when obtained by the same
person who positively or negatively endorses the opinions being rated.
In naturalistic influence situations the method that is most frequently
employed to induce changes in the affective value of an object involves
higher-order associations of symbolic stimuli. In this procedure, the
names and attributes of attitude objects are paired with verbal stimuli
or pictorial presentations likely to evoke in listeners strong emotional
responses on the basis of prior first-order conditioning. In several labora-
tory investigations of this learning process (Insko & Oakes, 1966; Staats
& Staats, 1957), formerly neutral nonsense syllables have been contigu-
ously associated with emotionally toned adjectives. The syllables take
on negative valence through repetitive pairings with adjectives having
negative connotations (e.g., ugly, dirty), whereas these same items are
evaluated as pleasant after they have been associated with positively con-
ditioned words such as beautiful, tasty, and happy. Pre-existing attitudinal
responses toward familiar names of persons and nations have also been
significantly altered through conditioning methods utilizing emotional
words as the evocative stimuli (Staats & Staats, 1958).
A study by Das & Nanda (1963) further reveals that developed
conditioned evaluative responses tend to generalize along previously
established associative networks, thus resulting in widespread effects.
names
After nonsense syllables had been contiguously associated with the
of two aboriginal tribes, favorable and unfavorable attitudes were
developed toward the syllables. In a subsequent test subjects ascribed
positive and negative attributes to the tribes in accordance with the
evaluative responses conditional to their corresponding nonsense sylla-
bles.
It should be noted in this context that, unlike laboratory analogues
of attitudinal learning in which single emotional words are presented in
discrete trials, in real-life situations considerably more intense emotional
by the cumulative impact of
reactions are typically elicited in audiences
long series of emotionally toned descriptions or pictorial presentations.
The above
studies, though relevant to the issue of attitudinal modi-
through affective manipulations, would have greater implications
fication
had they included more extensive assessment of emotional changes. Of
 )

604 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

much greater import would be evidence that exposure to communication

stimuli does, in fact, endow attitude objects with emotion-arousing
properties, and that alterations in the affective domain are associated
with corresponding changes in individuals' overt behavior toward the
objects in question.
Another method of inducing affective changes that have considerable
behavioral consequences relies upon modeling processes (Bandura,
1968). This outcome is achieved by associating attitude objects or their
descriptions with affective modeling cues capable of arousing in viewers
analogous emotional responses. Attitudinal modification through modeling
is illustrated in an ingenious experiment by Duncker ( 1938 ) In an .

initial test of food preferences children chose powdered chocolate with

a pleasant lemon flavor over a very sweet sugar with a disagreeable

medicinal taste. Later, a story was read to the children in which a stal-
wart astute hero abhorred a sour-tasting foodstuff similar to the children's
preferred food and enthusiastically relished a sweet-tasting substance.
The reactions of the admired hero reversed the children's initial food
preference, as measured immediately after the story session and in six
successive tests in which the children chose between powdered chocolate
and medicated sugar. Moreover, brief recall of the story reinstated the
experimentally induced preferences that had declined gradually over
time. More recently, Carlin (1965) found that young children showed
a greater preference for deferred gratification after they saw an adult
model display positive affective reactions while waiting for delayed
rewards than they did after they observed the model express negative
emotional reactions and devalue the goal object during the imposed delay
period.
In the foregoing studies both evaluative judgments and emotional
responses were modeled. The observed changes therefore cannot be
attributed solelv to the influence of affective modeling cues. There is

some reason from evidence provided by Culbertson ( 1957

to believe
that the modeling of preferences and beliefs without strong affective
displays can alter attitudes. Observers who witnessed others express
favorable attitudes toward integration subsequently exhibited a decrease
in prejudicial attitudes.
The potency of modeling for inducing attitudinal changes is further
demonstrated in the experiment by Bandura, Blanchard, & Ritter ( 1968
that was previously described. Snake-phobic subjects were administered
eight evaluative dimensions of the semantic differential technique, and
six attitude scales on which they rated how much they would like or
loathe different types of encounters with reptiles. Subjects were then
given factual information about the characteristics and habits of snakes
in order to control and to assess the possible influence of incidental in-
Strategies of Attitude Change 605

Live modeling
0.75
with participation
0.50 Symbolic modeling
0.25 Desensitization
Control
0.00
0.25
0.50
0.75

1.00
< - 1.25
1.50
1.75
2.00
2.25
2.50

1 2 1 2
Pre -Test Post -Test

Live modeling
1.75
with participation
1.50 Symbolic modeling
1.25 Desensitization

Control
1.00

0.75

0.50
0.25
0.00
-0.25
-0.50
-0.75
-1.00
-1.25
-1.50

1 2
Pre -Test Post -Test

Figure 9-6. Attitudinal changes for subjects who received either one of the three
treatment procedures or served as untreated controls. The numeral 1 indicates
subjects' attitudes prior to the behavioral test, and the numeral 2 shows their
attitudes immediately after the test of avoidance behavior. Bandura, Blanchard,
and Ritter, 1968.

formation before any treatment procedures were applied. After the test
for snake avoidance behavior, the attitude measures were again adminis-
tered. In the next phase of the experiment subjects received either
systematic desensitization, symbolic modeling, live modeling combined
with guided participation, or no treatment. Following completion of the
606 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

treatment series the attitude measures were again administered prior

to, and immediately after, the snake avoidance test.

The results are summarized graphically in Figure 9-6. Subjects'

loathing of reptiles was not altered in the slightest bv factual informa-
tion and exposure to the testsnake. The refractory quality of these
negative attitudes is shown by the control subjects, whose
further
evaluative reactions remained unchanged across repeated assessments.
Both symbolic modeling and desensitization, which successfully extin-
guished negative emotional responses to snake stimuli, produced ex-
tensive attitudinal changes. The treatment condition that neutralized
the anxiety-arousing properties of snakes and enabled subjects to interact
with the repugnant attitude object without any adverse consequences
achieved the greatest modification in attitudinal behavior. In a study
designed to assess the relative influence of information, modeling, and
guided contact in the latter method, Blanchard (1969) found that
modeling accounted for approximately 80 percent of the attitude change. 1

Information, on the other hand, increased subjects' emotional arousal to

modeling displays and had, if anything, a slightly adverse effect.
The attitudinal consequences of affective change are also disclosed
in desensitization studies involving more general attitudes dealing with
sex, aggression, and other interpersonal contents. These findings indicate
that the cognitive evaluative component of attitudes can be substantially
modified through direct manipulation of the affective properties of the
attitude object without involving informational references of a favorable
or unfavorable sort. Essentially similar results are reported bv Rosen-
berg (1960), who has shown that a negative affect induced through
post-hvpnotic suggestions produces a corresponding change in beliefs
about the attitude object.

BEHAVIOR-ORIEXTED APPROACH

The third approach to the modification of attitudes, which is fre-

quently emploved in experimental social psychology (Brehm & Cohen,

1962; Festinger, 1957), relies upon a behavior-oriented strategy. Change
programs conducted within a social-learning framework likewise favor
this type of approach, although they receive little mention in discussions
of attitude theory because until recently the cognitive consequences that
undoubtedly accompany behavioral modifications have rarely been sys-
tematically assessed. Before specific experimental findings bearing on
behavioral approaches are discussed, the conceptual scheme underlying
most of this research will be presented briefly.
change have, in large part,
Investigations of the process of attitude
been guided by various models of cognitive consistency. Among the more
Strategies of Attitude Change 607

prominent theoretical positions are those of congruity ( Osgood & Tannen-

baum, 1955), balance (Abelson & Rosenberg, 1958; Heider, 1958), and
cognitive dissonance (Festinger, 1957). Although these formulations dif-
fer somewhat in the types of events that are interrelated and the methods
used to disrupt internal equilibrium, they have in common the view that
a person's cognitions about himself and hisenvironment are organized
into an internally consistent system. It is further assumed, albeit implic-
itly, that there exists a strong drive for self-consistency. Consequently, the
introduction of new information that contradicts existing attitudes or be-
liefs creates an aversive motivational state that instigates the individual
to eliminate or reduce it by making cognitive adjustment designed to
achieve a new mental equilibrium. These consistency doctrines thus as-
sume that disruption of internal congruity between cognitive elements
constitutes a basic determinant of attitude change.
In laboratory investigations the requisite cognitive disequilibrium is

usually created through exposure to persuasive communications which

counter subjects' initial attitudes. Research stimulated by the cognitive
dissonance model is especially relevant to the issue under discussion be-
cause, unlike the other consistency enterprises, the method most often
employed changes involves getting a person to en-
to induce attitudinal
gage in attitude-discrepant behavior under conditions of minimal external
inducement.
There are several reasons for selecting change in behavior as a pri-
mary mode of attitude change. First, it is much easier to arrange rein-
forcement contingencies for altering specific overt actions than for chang-
ing personal convictions, which have a more private character and are
oftenmore difficult to define. By skillful management of incentives a per-
son can be induced to take progressively more favorable actions toward
attitude objects. Second, diverse opinions usually exist about possible
effects of engaging in certain forms of behavior. Consequently, such be-
liefs are more readily modifiable than cognitive representations of the be-
havior itself, which, because of its objective status, is more firmly fixed.
Thus, for example, it is easier to alter one's opinions about the effects of
smoking than to deny that one is, in fact, smoking, or to discontinue
smoking altogether. Third, in many cases behavior is so powerfully main-
tained by its immediate consequences that any induced cognitive modifi-
cation is likely to exert, at most, weak and transitory influence upon cor-
responding actions. A psychotherapist, for example, who contracted to
cure chronic alcoholism or debilitating compulsive rituals by exposing
his clients to discrepant information about the physiological hazards of
excessive drinking or the irrationality of needless, arduous compulsions
would, in a short time, suffer insolvency. Obviously, in instances where
608 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

behavior is highly resistant to change, modification of response conse-

quences is essential for effecting enduring alterations in performance to
which attitudes would eventually be expected to adapt.
In the prototypic dissonance experiment, subjects' attitudes toward
a particular issue or object are assessed through self-ratings, after which
they are prompted, in one way or another, to engage in behavior which
contradicts their private views. The same rating scales are later read-
ministered, and the change scores are taken to represent the degree of
attitude alteration. These studies (Brehm & Cohen, 1962; Cohen, 1964;
Festinger, 1957) demonstrate that induced behavioral changes typically
produce a corresponding modification in subjects' attitudes. After it was
demonstrated that behavioral change has attitudinal consequences, sub-
sequent research was primarily concerned with identifying the variables
governing the amount of attitudinal change effected by performance of
discrepant behavior. The conditions selected for investigation are based
upon the general assumption that the less compelling the reasons for en-
gaging in the contradictory behavior, the greater the dissonance and
hence, the more attitude change is required to reduce it. Thus, persons
who engage in attitude-discrepant behavior because of large rewards or
strong coercive pressures have ample external justification for their actions
and presumably, little dissonance and change of at-
therefore, experience
titude. On the other hand, assumed that those who behave contrary
it is

to their private opinions under conditions of minimal external inducement

are obliged to discover new attractions in the disagreeable activity to
justify to themselves their voluntary performance of inconsistent actions.
According to dissonance theory, inconsistent action will produce the
greatest amount of attitude change under conditions where small incen-
tives, just sufficient to get the person to complv, are employed; there are

minimal threats or coercive inducements; few reasons are given for taking
the discrepant stand; the person receives a high degree of choice in com-
mitting himself to the counterattitudinal performance; there is high ex-
penditure of effort in the attainment of the goal object or in the enact-
ment of the discrepant behavior; the inducing agent is viewed unfavor-
ably; and the person being influenced displays high self-esteem. It should
be noted here that in naturalistic situations it is ordinarily no easy task to
get people to perform personally repugnant actions for any length of time
under such unfavorable incentive conditions.
Evaluation of the major theoretical issues and voluminous empirical
findings bearing on dissonance-arousing variables goes beyond the scope
of this book. For the interested reader, detailed reviews are available
elsewhere (Abelson, Aronson, McGuire, Newcomb, Rosenberg & Tannen-
baum, 1968; Chapanis & Chapanis, 1964; Elms, 1967; Feldman, 1966).
The empirical studies have generally yielded conflicting results; conse-
Strategies of Attitude Change 609

quently, the precise conditions under which induced discrepant per-

formance will have greatest effect on attitudes still remain somewhat
obscure. A major difficulty in verifying derivations from dissonance theory
and in drawing conclusions from experimental data arises because there
exists no independent measure of the degree to which the postulated
state of dissonance has been aroused by a given procedure. Since the in-
duction operations typically involve a complex set of events, experimental
outcomes are open to numerous alternative explanations, which compli-
cate interpretation. For a graphic illustration of the ambiguity concern-
ing the independent variables in forced compliance studies, the reader is
referred to the spirited debate between Aronson (1966) and Rosenberg
(1966) who interpret the same experimental manipulation as having
created opposite amounts of cognitive dissonance!
One theoretical issue, because of its obvious relevance to the role of
incentives in change processes, warrants discussion in this context. It is
widely believed that experimental findings concerning the effects of incen-
tives upon attitude change brought about by divergent behavior contra-
dict derivations from "conventional reinforcement theory." In fact, be-
cause of inadequate application of incentives, results of those studies are
of limited relevance to reinforcement principles. Moreover, as will be
discussed later, contrary to common belief both dissonance and reinforce-
ment theory offer the same nonobvious implications.
In these experiments subjects are induced to write essays, enact pre-
scribed roles, or otherwise publicly espouse a set of opinions that contra-
dict their private feelings and beliefs. Some subjects are offered small
monetary incentives ( 15^-, 50^ ) for assuming the discrepant position,
while others are promised more generous rewards ($5, $20). Several ex-
periments (Brehm & Cohen, 1962; Festinger & Carlsmith, 1959) report an
inverse relationship between size of monetary incentive and attitude
change; other investigations have yielded both positive and inverse rela-
tionships ( Carlsmith, Collins, & Helmreich, 1966; Linder, Cooper, & Jones,
1967), no incentive effects of statistically significant magnitude (Elms &
Janis, 1965; Janis & Gilmore, 1965; Nuttin, 1966), or evidence that higher
monetary incentives produce greater degrees of attitude change ( Collins,
1969; Rosenberg, 1965).
The conditions governing the relationship between incentives and
attitude change cannot be reliably identified unless data are presented for
two other critical relationships, namely, the amount of counterattitudinal
behavior engaged in as a function of different magnitudes of reward, and
the degree to which variations in amount of discrepant behavior are as-
sociated with extent of attitude change. In experiments where the amount
and quality of counterattitudinal performance are measured, outcomes
are often uninterpretable because the material rewards, which supposedly
610 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

serve as external inducements for discrepant behavior, are applied in such

a loose contingency that their incentive function is virtually obliterated.
Rewards are offered for any performance subjects choose to display, but
otherwise the incentives are not explicitly made contingent upon the num-
ber, persuasiveness, and elaborated quality of arguments.
Even experiments conducted by proponents of incentive principles
have limited bearing on incentive theory because rewards are offered
without specific performance requirements. If incentives facilitate atti-
tude change because they motivate individuals to generate positive ar-
guments counter to their own beliefs (Janis, 1968), then subjects should
be rewarded on the basis of the number of favorable arguments that they
produce. An adequate test of the predictive efficacy of incentive theory
would also require independent evidence that variations in reward ac-
tuallv produce a differential number and variety of arguments. When
rewards are provided without regard to response output there is no rea-
son to expect them to have any consistent behavioral or attitudinal effects.
This is borne out by the actual findings. A number of limiting conditions
under which the consistency theories hold have been proposed, including
freedom of choice, commitment, public or private performance, antici-
pated consequences of influencing others in the counterattitudinal direc-
tion, and self-devaluative consequences. However, none of these explana-
tions adequately reconciles all the divergent results.
The positive influence of incentives is also frequently nullified in dis-
sonance experiments by introducing monetary rewards in the context of
inordinate social pressures upon subjects to perform the disagreeable
task. In theprocedure most often employed, a flustered experimenter ex-
plains to an unwitting subject that an unexpected emergency has arisen
because the regular assistant has just phoned saying that he will be un-
able to conduct the study with the next subject, who has already arrived
and is waiting for his scheduled session. Would the subject be willing,
for a small or a large fee, to substitute for the absent assistant by inform-
ing the waiting subject that a boring task is and enjoyable?
interesting
It is hardly surprising that, given such compelling reasons, the same
amount of discrepant behavior is enacted regardless of incentive size
(Carlsmith, Collins, & Helmreich, 1966; Festinger & Carlsmith, 1959),
and subjects are willing to perform the disagreeable task even without
any monetary rewards at all ( Nuttin, 1966 ) Indeed, given this "sudden,
.

unexpected, and pressing" crisis, and urgent appeals to the subject to help
the experimenter "out of a jam," none of the experimental conditions, re-
gardless of the appended fee, can be considered as providing insufficient
justification for compliance. By contrast, when the inordinate social pres-
sures are absent and the monetary rewards serve as the main justification

for developing counterattitudinal arguments, as in ess ay- writing situa-

Strategies of Attitude Change 611

tions, increased incentives often produce increasing amounts of attitude

change ( Carlsmith, Collins, & Helmreich, 1966). Other investigators
(Elms, 1967; Janis & Gilmore, 1965; Rosenberg, 1966) have therefore
attributed the effects of differential payments to arousal of resentment,
suspicion, and other interfering emotional responses rather than to their
intended positive incentive value.
Although there abundant evidence that performance of counter-
is

attitudinal behavior can be a highly efficacious means of altering existing

attitudes, divergent findings regarding contributory conditions suggest
that more than one mediating process is probably involved. Some of
these alternative mechanisms are discussed below.
Individuals undergo considerable social training to be logical and
consistent in their beliefs. To the extent that contradictory beliefs en-
gender from others and other negative consequences,
critical reactions

inconsistency may become an aversive condition that instigates emotional

arousal and cognitive modifications designed to remove the source of
discomfort. Hence, dissonance processes may be involved to some extent
under conditions where people have voluntarily committed themselves
to perform disagreeable behavior with weak external inducement and
are therefore compelled to modify their beliefs to justify their contra-
dictory actions. Because of the many limiting conditions under which
dissonance effects are believed to occur, the phenomenon could not be
highly prevalent. Dissonance reduction must, therefore, be only one of
several processes activated by counterattitudinal performance.
Whenever a given action has been rewarded, reinforcement effects
tend to generalize across similar classes of behavior, with the result that
the incidence of corresponding verbal responses is likewise increased to
some degree (Lovaas, 1961). Cognitive equivalents of the reinforced
overt behavior are also affected in a similar manner (Miller, 1951) even
though they have never been directly involved in the reinforcement con-
tingency. Thus, in situations where counter-attitudinal behavior is con-
tingently rewarded, analogous changes in the cognitive domain may
partly reflect a response generalization process.
A third interpretation of role-enactment effects, advanced by Janis
& King (1954), Janis & Gilmore (1965), and Rosenberg (1965), em-
phasizes the self-persuasive consequences of recalling and developing
numerous positive arguments. According to this point of view, favorable
amount of improvisa-
incentive conditions are likely to produce a greater
tion and more persuasively elaborated arguments upholding the op-
posed point of view. In the course of role-playing the person becomes
influenced by the merits of his own convincing arguments.
Although there is some evidence that degree of attitude change is
positively related to amount and quality of counterattitudinal behavior,
612 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

incentive size alone has no consistent effects upon either improvisation

or attitude change (Janis & King, 1954; Janis & Gilmore, 1965; Kelman,
1953; Rosenberg, 1965). However, Janis has shown that large incentives
furnished by a favorable source produce better quality of performance
and greater modification in attitudes than do small monetary rewards
offered by an unfavorable sponsor for taking a contradictory stand.
Rosenberg ( 1966 ) also offers the interesting proposition that self-persua-
sive consequences of behavioral rehearsal may depend upon the per-
former's psychological set. As in the case of influences from external
'

sources, a person who labels his counterattitudinal advocacv as manipula-

tive and deceptive may be considerably more resistant to his own per-
suasive arguments than if he undertakes the task with a positive self-
searching orientation. This factor, if operative, might account for some
of the conflicting results. Bern (1967) similarly argues that the self -per-
suasive effects of observing one's own behavior may be partly determined
by the stimulus conditions under which it occurs.
To the extent that attitudinal changes are partly governed by the
amount of discrepant behavior engaged in, the selection of incentive
magnitude as the critical variable for testing predictions from dissonance
and reinforcement theory was an unfortunate choice, because variations
in amount of reward have no consistent effects upon performance by
human subjects (Bruning, 1964; Elliott, 1966; Lewis & Duncan, 1961).
This is analogous to manipulating a variable that has no uniform effect
upon the amount of dissonance arousal. In order to furnish a critical
test of reinforcement theory, it is necessary to vary an incentive property
that has reliable behavioral consequences, since the only reason for em-
ploying rewards is to alter the incidence of the crucial behavior. In view
of evidence that variable, intermittent reinforcement results in higher
performance than the same rewards administered on a fixed schedule,
a more appropriate incentive variable, from the standpoint of reinforce-
ment theory, would be the pattern in which counterattitudinal behavior
is rewarded. For most incentive characteristics, the supposedly rival
theories predict the same outcome, though for different reasons. Con-
sider,for example, situations in which counterattitudinal behavior is
generously reinforced on a fixed-interval schedule in one case, and much
less frequently on a variable-ratio schedule in a contrasting treatment.
The less favorable incentive condition would be expected to produce
more attitudinal change because, according to dissonance theory, it pro-
vides less justification and hence greater dissonance, and according to
reinforcement theory, because it generates more self-persuasive behavior.
should also be noted in passing that, as far as behavior change pro-
It

grams are concerned, there are no reinforcement theories that prescribe

the use of excessive rewards. On the contrary, as explained in Chapter
Strategies of Attitude Change 613

4, it is most advantageous for several reasons to employ incentive con-

ditions just sufficient to elicit the desired behavior. First, the aim is to
produce enduring alterations in behavior, and partially reinforced be-
havior is most resistant to extinction. Second, in a well-designed pro-
gram artificial, external inducements, initially required to elicit the
desired responsiveness, are gradually reduced as the behavior produces
natural and self -evaluative reinforcing consequences. Since reductions
in incentives generate disruptive emotional effects, a change agent would
be inviting unnecessary trouble by the use of needlessly large rewards.
The discussion thus far has focused on internal readjustments
prompted by inconsistent action and alternative mediating processes that
might account for the phenomenon. A fourth mechanism mediating role-
enactment effects — an experimental consequences process—highlights the
fact that a change in behavior provides a person with a variety of new
experiences with the attitude object. Information gained from these new
social interactions and observations can, in itself, produce substantial
reorganization of attitudes (Kelman, 1961). Thus, for example, a preju-
diced person who has been induced to behave positively toward mem-
bers of a minority group may adopt a more favorable attitude not so
much because of stress created by intrapsychic inconsistency, but because
close positive associations with minority groups furnish additional evalua-
tive knowledge and rewarding outcomes for the participants. Direct ex-
perimental consequences of behavioral change, depending upon their
nature, may far outweigh the influence of intraspychic tensions in initiat-
ing and maintaining attitudinal changes.
Another important aspect of this process concerns the effects of in-
duced behavioral modifications upon the social environment of a moni-
toring membership group. If a person behaves in a discrepant manner
he may be virtually forced into association with the outgroup through
ostracism. Under these circumstances "consistency" may be enforced and
maintained through external, social mediation rather than intrapsychic
compromises. Experiential consequences of behavioral change are likely
to play a major role in determining how long induced attitudinal changes
will endure.

MODIFICATION OF SELF-ATTITUDES

Of particular relevance to social approaches for developing and

modifying attitudes is by Breer & Locke (1965)
the evidence provided
that task experiences can exert strong influence upon performers' atti-
tudes. In these studies individuals are either differentially rewarded or
experience differential success for performing tasks in two different ways.
After the performance experiences, subjects' preferences for similar
614 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

activities and more abstract values only indirectly related to the tasks
themselves are measured. The overall results, based upon numerous in-
vestigations of attitudes toward individualism, equalitarianism, theism,
and achievement, show that significant attitudinal changes can be in-
duced by providing individuals with successful task experiences. For
example, college students who worked better in groups than alone be-
came more collectivistic in their attitudes, whereas subjects who experi-
enced greater success when performing tasks independently adopted a
more individualistic orientation. These studies also provide some evi-
dence that attitudes induced by success tend to generalize to related
types of activities and to abstract preferences.
Change agents are often concerned not onlv with altering individual's
evaluations of different forms of behavior but in modifying their self-

attitudes as well. Indeed, in some schools of psvchotherapv, such as the

client-centered approach (Rogers, 1959), self-concept changes are rou-
tinely selected as one of the primary treatment objectives. According to
this point of view, self-attitudes can be modified most effectively through
intrapsychic exploration under conditions where the change agent dis-
plays empathy, noncontingent positive regard, and genuineness. The
individual's difficulties presumably stem from the fact that experiences
that are incompatible with his faulty self-conception are consistently
denied or inadequately symbolized. Self-examination in a positive, non-
evaluative relationship will lead him to attend to warded-off experiences
and accept them as part of himself; this, in turn, produces increased feel-

ings of self- worth, self-acceptance, and greater freedom of action. This

approach is predicated on the basic assumption that the person already
has developed highly competent repertoires of behavior, most of which
are inherently satisfying, but which are neither accepted nor actualized
because of the faulty self-evaluative contingencies that he has adopted
from misguided socialization agents.
Undoubtedly many competent people do experience a great deal of
self-generated distress and many self-imposed constraints as a result of
adherence to ill-advised or excessively high standards of self-reinforce-
ment. To the extent that a change agent differentially reinforces realistic
standard-setting behavior and elicits emulation of more lenient self-
evaluative standards as conveved through his comments and actions, the
client's habitual self-attitudes are likely to undergo change. However,
results ofoutcome studies presented earlier indicate that this objective

may not be too readily achieved on the basis of the types of conditions
prescribed by the client-centered approach.
In many stem from be-
cases, of course, unfavorable self-attitudes
havioral deficits and are repeatedly reinforced through failure experi-
"Internalization" and Persistence of Behavioral Changes 615

ences occasioned by the person's inability to meet realistic cultural ex-

pectations. It is obvious that for such persons no amount of self -explora-

tion will yield esteem-producing vocational skills, academic capabilities,

interpersonal competencies, and rewarding avocational proficiencies
which would support realistic positive self-evaluations. Here the primary
concern must be with self-development rather than self-exploration.
Evidence that attitudes are significantly influenced by rewarding per-
formance feedback indicates that enduring positive self-evaluations can
be most effectively achieved by arranging optimal conditions for the
individual to acquire the requisite competencies. On the other hand, the
likelihood is exceedingly small that favorable self-attitudes, however
induced, could survive in the face of discontinuing performance experi-
ences.

and Persistence
"Internalization"
of Behavioral Changes

It is generally assumed that when a change in behavior is accom-

panied by a set of congruent attitudes the behavior has become effec-
tively internalized. After this state of integration is achieved, a person's
conduct is presumably guided by inner values rather than by compliance
with external demands and outcomes. As a result of reciprocal support of
attitudes and behavior, internalized response tendencies are presumed
to be more stable and enduring over time, even under relatively unfavor-
able conditions of external reinforcement, than compliant behavior with-
out personal conviction. This view, if would appear on casual
true,
inspection to dispute the principle that behavior is regulated by its con-
sequences. This apparent contradiction arises because the latter proposi-
tion has often been interpreted, by both its ardent proponents and its
critics, to mean
that behavior is governed by situational contingencies.
In fact, as will be explained later, even so-called internalized behavior
remains under reinforcement feedback control, although it may be rela-
tively independent of externally occurring consequences.
Before discussing alternative mechanisms that have been advanced
to account for phenomena subsumed under the term internalization, it

is appropriate to question what, if anything, is internalized in the organ-

ism. It is perhaps misleading to talk of behavior being internalized since,
after response patternshave been acquired, it is doubtful that they can
undergo any further interiorization. The major issues, therefore, are less
concerned with the locus of behavior than with the nature of its control-
ling conditions.
In evaluating theories of internalization and self-regulating processes,
616 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

it is important to distinguish between the reinforcing and the discrimina-

tive functions of stimuli. Behavior is controlled not only by its reinforcing
consequences, but also by environmental stimuli which signify the types
of outcomes that are likely to follow certain courses of action. A great
deal of human behavior that appears to be internally directed is, in fact,
under the control of such discriminative cues. Sometimes the controlling
stimulus events can be readily identified because of their distinctive
properties, as in the case of a motorist who waits patiently at a red signal
light on a deserted street without an automobile, pedestrian, or traffic
officer in sight. While this motorist is exhibiting remarkable control,
nevertheless his behavior is clearly externally regulated. This example,
incidentally, illustrates some of the problems inherent in definitions of
internalization which ignore the behavior-directing function of cues, and
in which the primary criterion is the occurrence of behavioral control
in the absence of social surveillance.
In most instances the controlling external stimuli are not as easily
identified, and consequently internal controlling agents tend to be in-
voked as explanatory factors. The case of a dog who refrains from loung-
ing on an inviting sofa though unobserved, which is sometimes cited
as an example of internalized control, might serve to illustrate the latter
point. Some time ago we trained our spaniel through differential rein-
forcement to keep clear of all lounge chairs except one old recliner that
soon became the dog's semi-permanent abode. Our conditionable spaniel
exhibited a finely developed "superego" until one day when my wife
rearranged the furniture. Upon entering the living room I was greeted
by the tranquil scene of our socialized canine snoozing contentedly on a
new chair located in the area previously occupied by the threadbare re-
cliner. It suddenly became apparent that our dog's behavior was regu-

lated by irrelevant spatial cues rather than by an internal governor.

It has been repeatedly demonstrated in research with infrahuman or-

ganisms and with human subjects that cues regularly correlated with
reinforcement eventually gain control over the associated behavior.
Hence, where reliable discriminative stimuli are present it
in situations
is reasonable to question what has been internalized, and why it is neces-

sary to invoke an internal agency which supposedly regulates the ob-

served behavior. The fact that other types of subtle stimuli such as tem-
poral cues ( Ferster & Skinner, 1957; Sidman, 1966 ) can exert considerable
discriminative control over the form, rate, and pattern of responding
makes it exceedingly difficult to rule out external stimulus determinants.
Although there are extensive stimulus supports for behavior, one must
nevertheless explain differences in the responses of individuals to what
appear to be essentially the same cues. To return to the example of our
"Internalization" and Persistence of Behavioral Changes 617

lonesome motorist, a systematic field study would undoubtedly disclose

that under deserted traffic conditions some motorists would wait duti-
fully for the green light, others might stop momentarily and then con-
tinue on their way, while still others are likely to disregard the traffic
signal completely. A noninternalist would most likely argue that the
signal light, by itself, does not adequately define the total controlling
environment. Whether or not a particular individual will transgress de-
pends upon a large number of other stimulus variables (e.g., restraining
influence of other passengers, time pressures on the motorist, his subjec-
tive estimates of the probability of being caught and the gravity of the
consequences that might follow, etc.) each of which may exercise some
degree of control over his behavior. It is conceivable that in many
cases consideration of all the relevant stimulus events operative in a given
situation would disclose that behavior appearing to be internally gov-
erned is, in large part, under the control of complex patterns of multiple
stimuli, which are rarely identical either over time or across individuals.
Systematic social analyses would undoubtedly also reveal that persons
often persist in behavior that receives little or no social support (Bate-
son, 1961 ) , they forego rewarding activities and objects which are readily
available and socially permitted, they impose upon themselves highly un-
favorable performance demands (Bandura & Perloff, 1967), and their
actions may be highly refractory even to severe external consequences
(Farber, Harlow, & West, 1957). These and other data indicate that
regulatory mechanisms can be established that render behavior partially
independent of specific situational contingencies and outcomes.
One can differentiate several different types of "intrinsic" reinforce-
ment control. As noted in Chapter 4, response patterns can be effectively
maintained without social or natural support by their intrinsic sensory
consequences. Artificial incentives and a great deal of social surveillance
may initially be required, for example, to induce children to acquire
the necessary skills to play the piano; but after proficiency is achieved
keyboard performances are likely to be engaged in for their melodic
feedback. Other activities may similarly be self-reinforced through their
intrinsic sensory feedback. It should be noted, however, that the rein-
forcing values of most visual or auditory stimuli generated by behavioral
sequences must themselves be developed through a process of differential
reinforcement. There is nothing inherently rewarding about a skillfully
executed Wagnerian aria, an abstract painting, or a tuba solo.
Response patterns may also be partly maintained by anticipatory
consequences. Studies reported earlier show that behavior can be sus-
tained by imagined rewards or punishments. This process is also vividly
illustrated in the case, cited in Chapter 1, of the patient who tenaciously
618 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

performed arduous bizarre rituals designed to forestall dreadful, hellish

torture,even though his atonement rituals were consistently and severely
punished by ward personnel. In this instance imagined aversive conse-
quences had such overpowering effects on the patient's behavior that it
became relatively autonomous of external reinforcements.
The third mechanism by which behavior can become largely inde-
pendent of situational contingencies and outcomes involves a process in
which response patterns are largely controlled by their self-evaluative
consequences. As discussed in detail elsewhere, people adopt certain
standards of behavior and generate self-rewarding or self-punishing con-
sequences depending upon how their behavior compares to their self-
prescribed demands. It is this self-imposition of contingencies that prob-
ably serves as the basis for the notion that values govern conduct. Under
conditions where self-evaluative and externallv occurring consequences
conflict, as when a given pattern of behavior is socially rewarded but
personally devalued, the inhibiting effects of anticipatory self-criticism
may prevail over external rewards. Conversely, positive self-reinforcement
may maintain, in some strength, behavior that is nonrcwarded or nega-
tively sanctioned by societal agents whose behavioral standards are
repudiated.
Although in both of the "internalization" mechanisms discussed above
behavior is internally regulated by self-generated consequences, the types
of outcome's produced differ in at least one important respect. In the first

case, behavior is controlled by anticipatory representation of response

consequences administered by external agents. Consequently, in situations
which involve little risk that transgressive behavior will be detected, or
when anticipated aversive outcomes are mild, people may readily trans-
gress. In the second case, a person is deterred from behaving counter to
his standards of conduct by anticipatory self-punishing responses. Since
the person's own
self-demands and self-respect serve as his main guides
and deterrents, behavior that is under the latter form of self-control is
apt to be less affected by variations in specific situational contingencies.
It might be noted in passing that the distinction drawn between types of
self-generated consequences is similar to the common differentiation of
fear-controlled and conscience-controlled behavior.
The preceding remarks are not intended to imply, of course, that self-
reinforcement standards do not require some degree of social support.
Persons tend to affiliate with others who share similar behavioral norms
and mutually reinforce adherence to the standards they have adopted.
Those who choose a small, select reference group that does not share
the values of the vast majority may appear "inner-directed," whereas in
actuality they are very much dependent on the real or imagined approval
and disapproval of a few individuals whose judgments are highly valued.
Stabilization of Changes through Development of Self-Regulatory Functions 619

Stabilization of Behavioral Changes through

Development of Self-Regulatory Functions

By far the most important but most neglected aspect of behavioral

change processes is the appropriate generalization of established patterns
of behavior to new situations and their persistence after the original
controlling conditions have been discontinued. The generalization and
persistence of behavior can be facilitated by three different means. These
include transfer training, alteration of the reinforcement practices of the
social environment, and the establishment of self-regulatory functions. In
cases where newly established or disinhibited response patterns either
relieve subjective distress or are favorably received within the naturalistic
environment, the altered behavior will be adequately sustained without
special maintenance procedures. Occasional negative experiences in the
context of many neutral or rewarding experiences with formerly threat-
ening events are usually ineffective in reinstating fear responding. On
the other hand, where behavior that rewarding and positively self-
is

evaluative must be counteracted, and where customary environmental

contingencies provide only weak support for alternative modes of be-
havior, the development of self-regulatory functions is essential if induced
behavioral changes are to transfer and to endure to any significant
degree. This issue is best exemplified in the treatment of antisocial per-
sonalities.
The most fundamental changes would clearly be accomplished by
altering the contingency structure and reinforcement practices prevailing
in the deviant subculture. This would require modification of the be-
havior of individuals who exert a strong controlling influence over their
fellow members However, owing to the individual-
in the social system.
istic bias of treatment approaches and the inordinate difficulties encoun-

tered in efforts to gain adequate control over antisocial groups, the com-
mon procedure is to remove a transgressor from his usual environment
and to subject him to some type of social influence.
Severe antisocial behavior can be controlled in residential centers
through differential reinforcement. Moreover, the resultant conforming
behavior is likely to persist as long as the institutional sanctions remain
in effect. The residents may, in fact, come to behave irreproachably
and even to perform obligingly whatever behavior is expected of them
in order to make conditions in the institution as pleasant as possible and
to expedite their release. A beneficent incentive system in a treatment
center may thus extract considerable prosocial behavior from delinquents,
but such persons often revert to their usual antisocial patterns whenever
supervisory staff members are no longer present. The attraction of the
620 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

deviant subculture can be reduced by having members acquire alterna-

tive rewarding patterns of behavior and adopt new standards for self-
evaluation.
Findings of studies reviewed in preceding sections and earlier chap-
ters suggest several procedures that might be successful in developing
self -regulatory functions. First, the desired patterns of behavior and
standards for self-reinforcement should be adequately exemplified by
change agents. Second, an explicit set of performance requirements
linked with a graded system of incentives should be instituted, such that
progressive adoption of more advanced behavior brings increased free-
dom, privileges, and access to rewarding activities. However, provision
of exemplary models and positive inducements for behavioral change
may not alone be sufficient for transmitting self -monitoring reinforce-
ment systems to avowedly antisocial persons.
After participants adopt new patterns of behavior on the basis of their
utilitarian value, the next phase in the program may require direct train-
ing in self -reinforcement. This is achieved by gradually transferring evalu-
ative and reinforcing functions from change agents to the individual
himself. Rewards are now made contingent not only upon occurrence of
desired behavior, but also accurate evaluation of one's own performances.
Although at this stage the person judges when his behavior warrants re-
ward according to the prevailing contingency structures, others still serve
as the reinforcing agents. After accurate self -evaluative behavior is well
established, the reinforcing function is likewise transferred so that the
individual both evaluates his own behavior and reinforces himself accord-
rewards are gradually reduced
ingly. In addition, the artificial material
as the person's behavior is brought increasingly under the control of self-
administered and symbolic consequences. The ultimate aim of the train-
ing in self-reinforcement is to produce a level of functioning at which
participants can control their own behavior with minimum external con-
straintsand artificial inducements.
Another means of instilling self-regulatory functions is to provide
ample opportunities for participants to enact role behaviors toward peers
that are ordinarily performed by regular change agents. Specifically,
this entails delegating progressively more of the standard-setting, evalua-
tive, and reinforcement functions to members of the group as they progress
in the program. The members themselves, with staff guidance, thus be-
come the contingency managers. In order to enhance participants' will-
ingness to adopt new role behaviors, increased privileges and rewards are
associated with increased responsibility for guiding member behavior.
Active participation in decision-making, application of rewards and sanc-
tions for regulating the behavior of peers in accord with institutional
standards, and performance of other counterattitudinal behaviors would
Stabilization of Changes through Development of Self -Regulatory Functions 621

be expected to exert greater influences on values and preferences than a

program in which contingencies are simply imposed on covertly resistant
members. It might also be supposed that those who willingly implement
reinforcement contingencies advocated by a social agency for modifying
the behavior of their associates will similarly alter their own standards
of self -reinforcement in the practiced direction.
When individuals function as change agents for members of their
own group they not only achieve modifications that might otherwise
be strongly resisted, but they also advance the treatment of their sub-
ordinates by providing models for desirable modes of behavior. One
might expect peers to be emulated to a much greater extent than staff
because peers are less socially distant, have more opportunity to exhibit
desired response patterns, and are likely to evoke weaker resistive tenden-
cies. Additionally, individuals are less apt to be ostracized for adopting

the behavior of their peers.

Just as self-regulatory functions are socially transferable and condi-
tionable, they are also extinguishable unless given a sufficient amount of
social support. Various social groups, which differ considerably in their
behavioral standards and reinforcement practices, are potentially avail-
able to individuals. The groups with which they choose to affiliate largely
determine the role models and contingency system to which they will be
exposed and, consequently, the direction in which their behavior will be
further modified. Therefore, attention to factors governing the selection
of reference groups is of critical importance, particularly in cases where
induced behavioral changes are discordant with the conduct advocated
and reinforced by the individuals' former associates. Generalization and
maintenance of personality changes can, therefore, be best ensured if the
program instills in participants behavioral competencies and self-rein-
forcement standards that are likely to exert decisive influence on associa-
tion preferences.
After a person has adopted new standards for self-evaluation, a
group's pressures for conformity to conflicting behavioral requirements
are likely to be resisted. Instead, when the advocated conduct is not in
accord with self -prescribed standards, the individual may attempt to alter
the demands, he may remain a marginal member, or, if the rewards for
membership are insufficient, he may discontinue his association with the
group.
If persons are to affiliate with new social groups, they must acquire
at least some of the requisite behaviors for securing approval and recogni-
tion that will be necessary to sustain their active involvement. Other-
wise, they will be unable to meet successfully the demands of their new
social environment and will either eventually withdraw from or be re-
jected by the group. Many rehabilitative programs, for example, concen-
622 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

trate on producing radical changes in offenders' behavior that will lose

them the social and material rewards associated with a deviant career,
but relatively little attention is devoted to providing them the means for
obtaining adequate substitute gratifications.
The way in which affiliation processes govern the course of behavior
change is revealed in studies (Ellis & Lane, 1963; Krauss, 1964) investi-
gating the sources of high educational aspirations among lower-class chil-
dren. In the families of such children the parents cannot themselves pro-
vide satisfactory models of class-typed habits of speech, customs, and
social skills required to win acceptance from upper middle-class peers.
The parents characteristically initiate the upward mobility process by
attaching positive value to educational achievements; admired teachers
further reinforce, by approval and example, college ambitions in lower-
class youth; and selective association with college-oriented peers provides
the social-learning conditions for the gradual acquisition of attitudes,
belief systems, and complex behavioral repertoires necessary for achiev-
ing the desired socioeducational status. Bandura & Walters (1959) have
similarly shown that adolescents tend to choose close associates who
share similar value systems and behavioral norms; peer group mem-
bers, in turn, serve to reinforce and to uphold the standards of behavior
that the boys adopted.

Summary
Several theories have been proposed concerning the role of symbolic
processes in the regulation of behavior. These range from nonmediational
views that assume that reinforcing consequences modify behavior directly
and automatically, to cognitive formulations that consider symbolic repre-
sentation of contingencies a prerequisite for learning and performance
change. A reciprocal-interaction theory seems best able to order the
divergent findings bearing on this issue. According to this view, rein-
forcing consequences can alter behavior independently of awareness, but
individuals eventually infer, from observation of their behavior and its

differential outcomes, the correct reinforcement rules which partly control

subsequent responding.
In studies of both instrumental and classical conditioning persons who
discern the contingencies governing the administration of rewards and
punishments typically display significant increments in learning or per-
formance, whereas unaware subjects generally show few or no condition-
ing effects. Interpretation of these findings, however, remains unclear
because the studies lack the data necessary for determining whether con-
ditioning failures in the absence of awareness are attributable to inade-
Summary 623

quate central registration of sensory inputs or to lack of recognition of

contiguous stimulus events that have registered and evoked neural re-
sponses. Experiments designed so that subjects cannot observe either
their own responses or the occurrence of reinforcing events —thus pre-
cluding recognition of contingencies —reveal that conditioning can occur,
albeit much on a nonmediated basis. The overall findings
less reliably,

seem is a powerful facilitative factor, but it

to indicate that awareness
may not be a necessary and certainly is not a sufficient condition for
behavioral change. Awareness in itself is unlikely to produce response
changes unless persons possess the necessary performance skills and un-
less adequate incentives are provided to elicit and to sustain appropriate

responsiveness.
Symbolic activities not only augment the efficacy of reinforcement
operations, but they are also increasingly employed to generate emo-
tional effects that constitute the major reinforcing consequences in be-
havioral modification programs. In symbolic desensitization both the
aversive stimuli and the emotion-neutralizing responses are in large part
symbolically induced. Similarly, in aversive cognitive countercondition-
ing, avoidance responses toward addictive objects are established by con-
tiguous association of symbolic representations of positively valenced
stimuli with thought-produced nauseous reactions. Imagined conse-
quences may be employed instrumentally as covert reinforcers either
also
to strengthen or to reduce the incidence of overt behavior. Perturbing
trains of thought often disrupt psychological functioning, in which case
the problem becomes one of controlling symbolic events themselves. Self-
control of thought processes can be achieved by redirecting attention to
absorbing activities that elicit competing cognitions and by self-reinforce-
ment of more constructive lines of thought.
The issue of mediational control of behavior is also frequently raised
in the context of attitude theory. Although it is commonly assumed that
attitudinal changes have widespread and stabilizing influences upon
overt actions, induced alterations in attitudes in fact generally have few
enduring effects upon behavior unless they receive sufficient reinforce-
ment support. On the other hand, direct modification of the affective
properties of attitude objects and performance of attitude-discrepant
behavior produce stable corresponding changes in attitudes. This process
of cognitive accommodation to affective and behavioral changes has
been variously attributed to striving for cognitive consistency, to response
generalization of reinforcement effects, to the self-persuasive influence of
and to new experiential consequences re-
counterattitudinal behaviors,
sulting from the induced behavioral changes. It still remains to be
established whether environmental influences have similar but inde-
624 SYMBOLIC CONTROL OF BEHAVIORAL CHANGES

pendent effects on feelings, beliefs, and behavior, or whether a change

in one of these components engenders congruous modifications in the
other constituents.
When regulatory symbolic processes are combined with self-generated
consequences, behavior may become "internalized" or partially inde-
pendent of situational contingencies and outcomes. Several different
types of "intrinsic" reinforcement control can be distinguished. Behavior
may be sustained by its inherent sensory feedback, by anticipatory out-
comes, or by self-evaluative consequences.
The establishment of self-monitoring reinforcement systems is essen-
tial if induced behavioral changes are to generalize and endure, particu-
larly where social environments provide either weak support for new
modes of behavior or conflicting patterns of reinforcement. Stabilization
of changes is most likely to be ensured when the standards adopted for
self-reinforcement result in selective association with persons who share
similar behavioral norms, thus providing social support for one's own
system of self-evaluation.

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Author Index

Abelson, R. P., 137, 210, 599, 607, Ashem, B., 459, 493, 541, 555
608, 624, 630 Atkinson, R. C, 253, 284
Abi Rafi, A., 408, 414 Atthowe, J. M., Jr., 262, 267, 284
Abramovitz, A., 482, 497 Auld, F., Jr., 58, 63
Abrams, S., 506, 554 Ax, A. F., 381, 415, 487, 493
Adam, G., 22, 69 Ayllon, T., 10, 17, 27, 49, 63, 64, 108,
Adams, J. K., 568, 570, 624 113, 230, 233, 240, 241, 242,
Adams, J. S., 595, 629 245, 260, 262, 263, 264, 265,
Adler, H. E., 147, 204 266, 268, 284, 285, 297, 315,
Adler, L. L., 147, 204 316, 339, 348, 351, 369, 370,
Agras, W. S., 246, 288, 398, 399, 414, 371, 372, 373, 415, 572, 574,
419, 448, 449, 450, 497, 518, 624
527, 554, 555 Azrin, N. H., 27, 63, 108, 113, 230,
Ahmad, F. Z., 79, 117, 259, 292 233, 240, 241, 242, 245, 262,
Al-Issa, I., 459, 460, 496, 549, 559 263, 264, 265, 266, 268, 284,
Alexander, F., 78, 98, 113, 414 285, 295, 296, 297, 299, 307,
Alford, J.
A., 545, 555 312, 314, 315, 316, 323, 339,
Allchin, W. H., 552, 554 348, 350, 351, 353, 572, 574,
Allen, C. K., 362, 422, 582, 632 604
Allen, D. W., 148, 211
Allen, K. E., 237, 245, 246, 284, 285,
343, 354, 375, 376, 377, 414,
418 Bachrach, A. J., 246, 285
Allen, M. 67
K., 33, Backer, R., 218, 291
Allen, P., 329, 351 Bacon, R. C., 131, 215
Allport, F. H., 121, 204 Baer, D. M., 26, 27, 66, 77, 78, 114,
Alyokrinskii, V. V., 148, 204 122, 123, 124, 125, 204, 230,
Amsel, A., 359, 406, 415, 417 234, 237, 246, 284, 285, 287,
Anant, S. S., 506, 541, 555 339, 348
Anderson, D., 444, 498 Baer, P. E., 581, 627
Angermeier, W. F., 147, 204 Bailey, C. J.,
42, 64
Appel, J. B., 311, 339, 348, 350 Baker, S. L., Jr., 246, 286, 344, 350
Appel, K. E., 53, 59, 63 Bales, R. F., 535, 555
Armitage, S. G., 232, 246, 288 Ball, T., 248, 289
Armstrong, E. A., 197, 204 Bancroft,J.
H. J., 522, 555
Armstrong, J. D., 546, 555 Bandura, A., 3, 9, 14, 17, 23, 30, 32,
Aronfreed, J., 131, 204, 238, 288, 301, 33, 35, 36, 41, 51, 64, 75, 76, 77,
302, 305, 348 79, 81, 82, 91, 99, 104, 113, 117,
Aronson, E., 306, 348, 600, 608, 609, 118, 120, 122, 128, 129, 130,
624 131, 132, 133, 134, 136, 137,
Asch, S. E., 95, 113 138, 141, 144, 145, 146, 148,
634 Author Index

149, 150, 159, 167, 171, 173, Benton, A. A., 193, 205, 302, 305,
177, 178, 179, 180, 181, 182, 349
184, 186, 188, 190, 191, 193, Berberich, J.
P., 124, 154, 156, 210,
194, 195, 196, 198, 204, 205, 227, 230, 289
230, 235, 256, 259, 285, 292, Berg, C., 92, 113
296, 313, 338, 348, 349, 357, Berg, J. A., 58, 64, 95, 114
364, 379, 380, 382, 384, 397, Berger, A., 578, 631
415, 450, 457, 465, 476, 493, Berger, S. M., 23, 30, 64, 168, 172,
585, 597, 598, 601, 604, 605, 205, 380, 415
617 622, 624, 625 Bei-gin, A. E., 55, 59, 65, 95, 96, 97,
^
Banks, J. H., 169, 212 114, 600, 625
Barber, T. X., 473, 493 Berkowitz, L., 159, 205, 378, 382,
Barends, J., 459, 499 384, 415, 504, 557
Barker, J. C, 502, 504, 510, 511, 518, Berkowitz, S., 125, 205
555, 559 Berlew, D. E., 255, 288
Barlow, D. H., 398, 399, 414, 448, Berlvne, D. E., 220, 285
497, 518, 555 Berman, A. J.,
131, 215
Barnes, G. W., 219, 285 Bernstein, I. H., 577, 578, 631
Barnett, P. E., 172, 205 Bersh, P. J.,
362, 386, 387, 421, 426,
Barnwell, A. K., 196, 205 498
Baroff, G. S., 329, 331, 354 Bettelheim, B., 480, 493
Baron, A., 219, 285, 572, 573, 574, Bever, N. L., 137, 205
625, 628 Beyme, F., 460, 493
Barrabee, E. L., 59, 67 Biderman, A. D., 58, 65
Barrett, B., 334, 349 Bielinski, B., 548, 562
Barrett, B. H., 406, 408, 415 Bijou, S. \\\, 105, 115, 262, 285, 343,
Barry, H., 485, 486, 493, 531, 555 353, 381, 384, 418, 421
Baruch, D. W., 474, 493 Bis, 278, 286
J.,
Bass, B. M, 58, 64, 95, 114, 361 Bisese, V. S., 30, 65
Bass, M. J., 396, 415, 470, 493 Bitter, E., 380, 417,
Bassan, M. E., 53, 68 Bitterman, M. E, 360, 365, 417, 420,
Bateson, G., 42, 64, 379, 415, 617, 422
625 Black, A. H., 42, 65, 131, 175, 205,
Bayroff, A. G., 147, 205 304, 349, 357, 358, 388, 415,
Beach, F. A., 317, 349, 468, 494, 511, 416, 419, 425, 426, 428, 493
557 Blair,J.
H., 411, 412, 420
Becker, W. C., 105, 116, 148, 209, Blake, B. G., 541, 549, 555
262, 290, 384, 419, 420 Blake, R. R., 136, 164, 194, 196, 206,
Beech, H. R. 333, 349 207, 208, 209, 210, 214
Bell, R. W., 31, 68 Blakemore, C. B., 502, 504, 510, 518,
Belleville, R. E., 533, 558 555, 559
Bellugi, U., 151, 206 Blanchard, E. B., 17, 64, 75, 91, 104,
Bern, D. J.,
612, 625 113, 167, 182, 184, 186, 188,
Bern, S. L., 40, 64 190, 191, 204,
206, 364, 415,
Benedetti, D. T\, 172, 205 450, 457, 465, 476, 493, 597,
Benline, T. A., 389, 415 604, 605, 606, 624, 625
Benne, K. D., Ill, 113 Blane, H. T., 540, 558
Bennett, R. E., 544, 545, 546, 556 Bloch, B. L., 136, 211
Bensberg, G. J., 233, 234, 248, 285 Bloodstein, O., 327, 349
Bentler, P. M., 105, 113, 459, 475, Bloom, R. F., 131, 215
484, 493 Blough, D. S., 531, 555
 Author Index 635

Boe, E. E., 300, 314, 316, 317, 349 Brush, E. S., 431, 499
Bolden, L., 416 Brutten, E. J., 318, 320, 349
Bolles, R. C, 296, 349 Bruun, K., 531, 555
Bond, I. K., 337, 349, 466, 493, 514, Bryan, J. H., 196, 206
525, 555 Bucher, B., 329, 330, 349
Bookbinder, L. J.,
48, 65 Buchwald, A. M., 195, 206, 244, 285
Bordin, E. S., 92, 115, 483, 493 Buehler, R. E., 6, 65, 344, 349, 381,
Boroczi, C, 317, 354 416
Bourne, L. E., Jr., 40, 65, 567, 625 Buell, J.
S., 237, 245, 284, 288, 375,

Bourne, P. G., 545, 555 377, 414, 418

Bowcock, J. Z., 545, 555 Burbridge, N., 544, 545, 555
Bower, G. H., 41, 65, 140, 206, 217, Burchard, J., 343, 349
287, 425, 493 Burke, C. J., 576, 629
Bowman, K. M., 544, 545, 555 Burkholder, R., 274, 289
Bradv, J. P., 485, 493 Burrowes, A., 34, 68
Brady, J. V., 299, 352 Burton, R. V., 385, 421
Branch, M. N., 146, 211 Burtt, H., 595, 627
Brawley, E. R., 77, 114, 245, 285 Bushell, D., 227, 292
Jr.,
Breer, P. E., 613, 625 Buss, A. H., 384, 416
Brehm, J. W., 599, 606, 608, 609, 625, Butcher, R. H. G., 457, 460, 495
630 Butler, R. A., 219, 221, 285
Brenker, J., 459, 499 Butterfield, W. H., 236, 250, 251, 291
Breuer, J., 410, 417 Bykov, K. M., 20, 22, 65
Bricker, W., 381, 421
Bridger, W. H., 362, 363, 364, 416,
580, 582, 583, 625, 629
Brigham, T. A., 124, 206 Cairns, R. R., 483, 493
Brimer, C. J., 388, 419 Callahan, D. M., 58, 67
Brinker, D. B., Jr., 137, 208 Calvin, A. D., 406, 416
Broden, M., 262, 287 Cameron, N., 465, 493
Brodie, D. A., 531, 558 Camp, D. S., 300, 349
Brodskv, G., 90, 116 Campbell, D., 551, 555
Broen, W. E., Jr., 317, 354 Campbell, D. T., 198, 206
Bronfenbrenner, U., 281, 285 Campbell, P., 551, 556
Brooks, L. R., 249, 291, 567, 628 Campos, G. B., 394, 417
Brookshire, R. H., 319, 349 Cane, V. A., 193, 195, 216, 302, 354
Brown, B. H., 475, 499 Capaldi, E. J., 365, 416
Brown, C. T., 545, 555 Carkhuff, R. R., 166, 215
Brown, G. D., 343, 354 Carlin, M. T., 604, 625
Brown, J. S., 218, 220, 285, 361, 416, Carlisle, J. M., 513, 519, 560
442, 497 Carlsmith, J. M., 306, 348, 600, 609,
Brown, M., 76, 77, 117, 379, 384, 422 610, 611, 624, 625, 627
Brown, P., 76, 114, 385 Carlson, N. J., 131, 206, 304, 349,
Brown, P. T\, 518, 521, 527, 562 358, 388, 416
Broun, R., 151, 206 Carpenter, J. A., 529, 555, 557, 559
Brown, R. W., 597, 625 Carrera, R., 403, 420
Brown, T. R., 195, 213 Cartwright, D. S., 53, 66
Broz, W. R., 508, 535, 537, 542, 543, Casey, A., 532, 555
547, 559, 562 Cassel, R. H., 233, 248, 285
Bruning, J. L., 30, 31, 65, 68, 612, Castell, D., 518, 521, 527, 562
625 Caul, W. F., 170, 212
636 Author Index

Cautela, J.
R., 257, 286, 506, 556, Conway, C. G., 502, 504, 510, 518,
584, 625 555, 559
Chafetz, M. E., 530, 534, 556 Cook, S. W., 362, 416, 580, 581, 626
Chambers, R. M., 218, 286 Cooke, G., 438, 459, 494
Chandler, P. J., 194, 208 Cooper, A. J., 510, 514, 524, 551, 556
Chapanis, A., 608, 625 Cooper, E. B., 322, 350
Chapanis, N. P., 608, 625 Cooper, J.,
609, 629
Chapel, J. L., 459, 493 Cooper, J.
494
E., 458,
Chapman, R. W., 344, 349 Coppock, H. W., 218, 286
Charms, R. de, 137, 207 Cornelison, A. R., 4, 5, 67
Chatterjee, B. B., 581, 625 Corsini, R. J., 164, 207
Child, G. P., 544, 545, 546, 556 Corson, J. A., 147, 207
Chittenden, G. E., 76, 114, 148, 159, Costello, C. G., 407, 416, 459, 494,
160, 161, 206, 379, 384, 416 518, 556
Chu, C. G., 95, 114 Costiloe, J.
P., 485, 499
Church, R. M., 31, 65, 147, 170, 206, Cowan, P. A., 151, 207, 260, 290
295, 300, 307, 317, 349 Cowden, R. C, 460, 461, 494
Clancy, J., 551, 556 Craig, K. D., 172, 207
Clark,' B. S., 195, 206 Crankshaw, E., 18, 65
Clark, D. F., 407, 416, 459, 474, 476, Crawford, M. P., 198, 207
481, 494, 518, 556, 580, 625 Crawford, R., 171, 215
Clark, M., 262, 286 Cressler, D. L., 102, 114, 275, 286
Clark, R., 532, 556 Crisp, A. H., 464, 497
Clark, R. A., 531, 556 Crook, G. H., 544, 545, 555
Clifford, B., 416 Crooks, J. L., 174, 207
Clifford, L. T., 416 Culbertson, F. M, 604, 626
Cloward, R. A., 4, 65 Curran, D., 516, 556
Clugston, H. A., 139, 215 Cutler, R. L., 100, 116
Cohen, A. R., 596, 599, 606, 608, 609,
625
Cohen, D. J., 280, 286 Dabbs, J. M., Jr., 95, 114, 602, 626
Cohen, H. L., 233, 262, 278, 286, Dalv, D. A., 322, 350
344, 349 Darby, C. L., 147, 207
Cohen, J., 278, 286 Dardano, J. F., 312, 350
Cohen, S. I., 460, 494 Darwin, P. L., 476, 495
Colby, K. M., 92, 114, 151, 206 Das, J. P., 603, 626
Cole, J. O., 485, 494 Davenport, J. W., 22, 65
Cole, M., 576, 629 Davidoff, E., 544, 545, 546, 556
Cole, M. W., 488, 495 Davies, D. L., 540, 556
Coles, M. R., 147, 215 Davis, D. M., 318, 323, 350
Collier, R. M., 92, 114 Davis, R. A., 139, 215
Collins, B. E., 609, 610, 611, 625 Davison, G. C., 433, 435, 440, 449,
Collins, B. J., 259, 292, 571, 629 450, 457, 479, 494, 521, 556
Colman, A. D., 246, 286, 344, 350 Davison, L. A., 168, 210, 215
Colwell, C. N., 233, 248, 285 Davitz, J. R., 383, 416
Conant, M. B., 133, 206 Dawson, M. E., 580, 581, 626
Conger, J. J., 530, 556 De Morsier, G., 539, 541, 556
Conn, J. H., 514, 556 De Nike, L. D., 565, 566, 568, 569,
Connor, R., 550, 558 626, 631
Conovitz, M. W., 317, 349 Deese, J., 357, 361, 416
Converse, P. E., 598, 630 Dekker, E., 20, 21, 65
 Author Index 637

Delgado, M., 383, 416

J.
Elliott, R., 76, 114, 339, 350, 385,
Demkow, 303, 354
L., 416, 612, 626
Demone, H. W., Jr., 530, 534, 556 Ellis, R. A., 622, 626
Denenberg, V. H., 531, 561 Ellman, S. J., 131, 215
Denny, M. R., 358, 361, 416, 422 Ellson, D. G., 133, 207
Desiderato, O., 308, 350 Elms, A. C., 608, 609, 611, 626
Di Cara, L. V., 25, 65, 374, 416 Emery, J. R., 471, 494
Dibner, A. S., 483, 494 Emmerich, W., 119, 207
Dickel, H. A., 478, 495 England, G., 460, 495
Dinoff, M, 260, 290 English, H. B., 475, 484, 494
Dinsmoor, J. A., 296, 350 Epstein, N. B., 545, 556
Dittes, J. E., 79, 114, 409, 416, 417 Epstein, R., 136, 194, 207, 379, 417,
Dittmann, A. T\, 92, 114, 115 444, 494
Dixon, H. H., 478, 495, 499 Erasmus, C. J., 200, 207
Dixon, T. R., 444, 499 Eriksen, C. W., 526, 556, 581, 588,
Dobson, W. R., 78, 114 589, 591, 594, 625, 626, 627,
Docter, R. F., 529, 556 628
Dollard, J., 121, 136, 137, 147, 196, Erwin, W. J., 246, 285
197, 198, 212, 218, 289, 378, Estabrooks, G. H., 484, 494
379, 392, 409, 417, 586, 626 Estes, B. W., 238, 289
Donner, L., 435, 494, 541, 555 Estes, W. K., 295, 299, 350, 357, 417,
Doob, L. W., 378, 417, 598, 626 576, 629
Doyle, G. A., 219, 290 Etheredge, E. E., 485, 486, 493
Drakeford, J. W., 165, 207 Etzel, B. C., 377, 417
Dubanoski, R. A., 195, 207 Evans, D. R., 337, 349, 518, 520, 527,
Duffy, E., 487, 494 556, 557
Dufort, R. H., 360, 419 Eysenck, H. J., 53, 65, 508, 557
Dulany, D. E., 566, 567, 568, 569,
572, 573, 589, 626
Dumont, D. A., 156, 210 Fairweather, G. W., 54, 65, 102, 105,
Duncan, C. P., 612, 629 114, 269, 272, 275, 276, 277, 286
Duncker, K., 196, 207, 604, 626 Farber, I. E., 443, 494, 565, 566, 568,
Dunham, H. W., 261, 286 577, 579, 617, 627
Dunham, P. J., 244, 286 Feldman, M. P., 335, 337, 350, 352
Duryea, R., 196, 206 Feldman, R. B., 407, 417
Dvorak, 175, 212, 539, 541,
A., 560 Feldman, R, S., 260, 290
Dyal, J. A., 361, 417, 433 Feldman, S., 608, 627
Dysinger, W. S., 168, 207 Feldmann, H., 539, 541, 556
Fenichel, O., 92, 114, 465, 494
Ferguson, J. K. W., 546, 557
Fernandez, L. E., 182, 215
Easterbrook, J. A., 137, 207 Ferracuti, F., 381, 423
Edinger, R. L., 259, 292 Ferster, C. B., 27, 29, 40, 65, 88, 114,
Edlin, J. V., 541, 556 248, 255, 286, 290, 339, 350,
Edmonson, B. W., 406, 417 360, 417, 585, 616, 627
Efran, J.
A., 445, 494 Feshbach, N. D., 148, 207, 379, 380,
Eiseman, A. 533, 558
J., 382, 417
Ekman, P., 579, 626 Festinger, L., 364, 365, 419, 595,
Elam, C. B., 360, 417 596, 606, 607, 608, 609, 610,
Elkes, E., 58, 68 627
Elkin, F., 82, 114 Fiedler, F. E., 8, 69
638 Author Index

Filipczak, J.,
278, 286 Geer, ]. H., 460, 495
Finesinger, J.
E., 59,67 Gelder, M. G., 457, 458, 495, 497,
Finley, J.
R., 249, 291 510, 511, 516, 517, 518, 520,
Fjeld, H. A., 147, 216 527, 557, 560, 602, 629
Flanagan, B., 323, 350 Gelfand, D. M., 78, 114, 136, 137,
Flanders, J. P., 148, 198, 207 196, 308
Fleck, S., 4, 5, 67, 513, 557 Gelfand, S., 78, 114
Fleishmann, E., 595, 627 Gerard, R. W., 485, 494
Fleming, R. S., 245, 285 Gerst, M. S., 134, 135, 208
Fleshier, M., 299, 307, 309, 3-10, 351 Gewirtz, 208, 377, 417
L., 123,
J.
Flint, A. A., 58, 68 Giffin, M. E., 512, 513, 557, 559
Fode, K. L., 572, 631 Giles, D. K., 109, 117, 227, 248, 262,
Folkins, C. H., 438, 494 287, 292
Ford, C. S., 468, 494, 511, 521, 557 Gilmore, J. B., 609, 611, 612, 628
Ford, L. I., 460, 461, 494 Girardeau, F. L., 248, 262, 287
Fort, T., 535, 557 Gitelson, M., 18, 66
Foss, B. M., 130, 131, 207 Gittelman, M., 161, 208
Foster, F. M., 394, 417 Glad, D. D., 534, 535, 557
Fowler, H., 296, 350 Glaser, R., 280, 287
Fox, L., 255, 256, 286 Gleitman, H., 356, 418
Fox, S. S., 220, 287 Gliedman, L. H., 53, 58, 59, 65
Frank, G. H., 92, 114 Glynn, J. D., 518, 525, 557
Frank, J. D., 53, 58, 59, 65 Gorfman, E., 261, 287
Franks, C. M, 504, 557 Gold, V. J., 78, 115, 328, 352
Fraser, H. F., 533, 558 Golden, ]. M., 53, 67
Frederick, F., 34, 68 Goldiamond, I., 233, 256, 260, 278,
Freed, A., 194, 208 286, 287, 288, 318, 322, 323,
Freedman, J. L., 206, 350 325, 326, 350, 351, 406, 418,
Freeman, H. L., 394, 417, 475, 494 588, 627
Freitag, G., 78, 115, 227, 289, 328, Goldman, J.
R., 79, 81, 114, 259, 287
352 Goldstein, A. C., 317, 349
Freitag, L., 157, 210 Goldstein, N., 166, 213
Freud, S., 11, 65, 410, 417, 594, 627 Gollub, L. R., 227, 288
Freund, K., 504, 515, 518, 521, 557 Goodnow, J. J., 575, 627
Friedman, D., 459, 485, 494, 495 Goodwin, W., 244, 291
Friedman, I., 262, 287 Goorney, A. B., 511, 557
Fromer, R., 504, 557 Gordon, C. W., 550, 561
Fuhrer, M. J., 581, 627 Gourevitch, S., 593, 629
Furniss, J. M., 6, 65, 344, 349, 381, Gray, B. B., 460, 495
416 Greenberg, L. A., 529, 557
Greenwald, A. G., 595, 596, 627
Grice, R. G., 361, 419
Gale, D. 428, 495
S., Grings, W. W.,362, 418, 426, 481,
Gale, E. N., 428, 495 495, 580, 581, 582, 626, 627
Garcia, J., 502, 557 Groen, J.,
20, 21, 65
Gardner, J. E., 246, 287 Groot, H., 370, 418
Garfield, S. L., 53,66 Grossberg, J. M., 48, 66, 75, 114, 392,
Garfield, Z. H., 476,495 418, 473, 481, 495
Garvey, W. P., 394, 417 Grosser, D., 194, 208
Gebhard, M. E., 269, 286 Grusec, J. E., 33, 64, 75, 113, 130,
Geen, R. G., 384, 417 131, 134, 136, 137, 141, 148,
 Author Index 639

177, 178, 193, 195, 204, 208, Hawkins, R. P., 105, 106, 107, 108,
212 115, 381, 384, 418
Grusec, T., 425, 493 Hayes, C, 147, 208
Guild, J., 545, 556 Hayes, K. J., 147, 208
Guthrie, E. R., 296, 351, 357, 358, Headlee, C. P., 218, 286
418, 444, 495 Hearst, E., 312, 351
Hefferline, R. F., 576, 627
Hegrenes, J. R., 394, 417
Heider, F., 607, 628
Hahn, K. W., Jr., 473, 493, 580, 625 Heilbrunn, G., 541, 556
Harm, S. C, 148, 161, 211 Heine, R. W., 9, 66, 94, 115
Hain, J. D., 196, 206, 457, 460, 495 Helmreich, R. L., 609, 610, 611, 625
Hald, J., 544, 558 Helson, H., 196, 208
Hall, J. F., 358, 388, 421 Henbest, R., 511, 538, 561
Hall, K. R., 197, 208 Hendry, D. P., 297, 351
Hall, R., 196, 214 Henke, L. B., 246, 284
Hall, R. V., 109, 117, 227, 246, 262, Henker, B. A., 83, 115, 130, 208
287, 292 Henry, G. W., 469, 495
Halse, D. F., 312, 348 Herbert, J. J., 147, 208
Hamilton, C, 21, 68 Herman, R. L., 315, 351
Hamilton, J., 329, 343, 351 Hernandez-Peon, R., 583, 628
Hanlon, C, 148, 208 Herrnstein, R. J.,
339, 345, 351, 352
Hanson, K., 544, 545, 555 Herzberg, A., 75, 115, 393, 418
Harford, R. A., 576, 627 Hess, E. H., 515, 558
Harlow, H. F., 220, 244, 287, 617, Hicks, D. J., 136, 148, 208, 307, 351
627 Hiler, E. W., 58, 66
Harper, P., 518, 525, 557 Hilgard, E. R., 217, 287
Harris, E., 595, 627 Hill, B., 315, 351
Harris, F. R., 26, 27, 66, 77, 78, 114, Hill, F. A., 362, 423, 582, 632
154, 214, 237, 245, 246, 284, Hill, H. E., 320, 351
285, 287, 288, 343, 354, 375, Hill,
J.
H., 138, 182, 208, 213
377, 414, 418 Hill, M. 540, 558
J.,
Harris, M. B., 83, 88, 113, 114, 138, Hinde, R. A., 197, 208
144, 149, 150, 196, 204, 208, Hine, C. H., 544, 545, 555
257, 287, 528, 558 Hinko, E., 262, 287
Harris, R. E., 362, 416, 580, 581, 626 Hirsch, J., 569, 574, 575, 628
Harsh, C. M., 147, 208 Hislop, M. W., 567, 628
Hart, B. M., 77, 114, 237, 284, 375, Hiss, R. A., 339, 350
377, 414, 418 Hletko, P., 541, 556
Hartmann, D., 379, 384, 418 Hoddinoth, B. A., 151, 207
Hartup, W. W., 193, 213, 444, 495 Hoenig, J., 449, 495
Harvery, J., 416 Hoff, E. C., 545, 558
Harvey, J. S., 59, 67 Hoffeld, D. R., 396, 418, 470, 495
Harvev, W. A., 53, 59, 63 Hoffman, H. S., 299, 307, 309, 310,
Harway, N. I., 92, 115 351
Haslam, M. T., 394, 418, 460, 495 Hoffman, M. L., 313, 351
Hastorf, A. H., 32, 66, 91, 115 Hofstadter, R., 110, 115
Haugen, G. B., 478, 495 Hogan, R. A., 403, 418, 419
Haughton, E., 10, 49, 64, 245, 260, Hogans, A. F., 531, 558
285, 370, 371, 372, 373, 415 Holland, B., 593, 631
Hawkins, H. L., 166, 214, 266, 291 Holland, J. I., 269, 286
640 Author Index

Hollingshead, A. B., 545, 558 Jack, L. M., 76, 115

Holmberg, A. R., 200, 208, 511, 558 Jackson, D., 246, 287
Holmes, D. S., 579, 628 Jackson, J. K., 550, 558
Holmes, F. B., 182, 209, 485, 496 Jackson, T. A., 147, 216
Holstein, S., 222, 287 Jacobsen, E., 544, 545, 547, 558
Holt, E. B., 121, 208 Jacobsen, E. A., 166, 211
Holt, R. R., 593, 629 Jacobson, E., 478, 479, 481, 495
Holz, W. C, 295, 296, 307, 312, 314, Jakubczak, L. F., 136, 137, 209
315, 316, 339, 348, 351 James, B., 410, 420, 521, 558
Homans, G. C, 482, 495 James, W. T., 147, 204
Homme, L. E., 39, 66, 85, 115, 229, Janis, I. L., 58, 66, 95, 115, 136,
209,
257, 287, 585, 587, 628 599, 601, 602, 609, 610, 611,
Honig, W. K., 307, 352 612, 626, 628
Hood, W. R., 218, 286 Jegard, S., 384, 418
Hooker, E., 469, 495 Jellinek, E. M., 548, 558
Hordern, A., 411, 418 Jenkins, H. M. 567, 631
Horn, G., 583, 628 Jenkins, R. L., 246, 290
Hornick, E. J., 541, 561 Jensen, P. K., 308, 351
Hovland, C. I., 58, 66, 95, 115, 136, Jersild, A. T., 182, 209, 485, 496
140, 209, 396, 418, 470, 495, John, E. R., 20, 66, 431, 480, 496
567, 599, 600, 601, 628, 629, Johnson, A. M., 512, 513, 557, 558,
630, 631 559
Howard, K., 578, 631 Johnson, D. L., 166, 211
Howe, E. S., 460, 495 Johnson, H., 594, 628
Hsu, J. J., 551, 558 Johnson, R. H., 541, 556
Hughes, F. W., 531, 559 Johnson, W., 318, 352
Hughes, H. B., 10, 49, 64 Johnston, M. K., 154, 214, 245, 246,
Hull, C. L., 218, 287, 356, 396, 415, 287, 288, 343, 353, 354, 384,
418, 470, 493 418, 421
Humphery, J.,
158, 209 Jones, E. E., 609, 629
Humphrey, G., 121, 209 Jones, H. G., 393, 406, 419, 522, 555
Hundt, A. G., 222, 287 Jones, M. C, 175, 176, 209, 451, 473,
Hundziak, M., 248, 287 475, 480, 496
Hunt, H. F., 299, 352 Jourard, S. M., 81, 115
Hunt, J. McV., 488, 496 Jouvet, M., 583, 628
Huston, A. C, 83, 113, 130, 136,
205
Hutchinson, R. R., 312, 348
Hutchison, H. C, 465, 477, 478, 493, Kagan, J., 137, 209
496, 514, 525, 555 Kahn, M„ 382, 419
Hutt, C., 152, 209 Kahn, M. W., 468, 496
Hutt, S. J., 152, 209 Kamin, L. J., 358, 386, 387, 388, 419,
422 474 499
Kanareff' V. T., 128, 137, 209, 210
Kanfer, F. H., 30, 33, 37, 66, 128,
lflund, B., 166, 213 209, 258, 288, 568, 628
Imanishi, K., 147, 209 Kant, F., 538, 541, 558
Imber, S. D., 53, 58, 59, 65, 66 Kantorovich, N. V., 537, 541, 558
Insko, C. A., 603, 628 Kaplan, H. S., 531, 558
Isaac, W., 220, 233, 260, 288 Kassorla, I. C, 78, 115, 156, 210, 328,
Isbell, H., 533, 558 352
 Author Index 641

Katkin, E.S., 460, 495 Koelling, R. A., 502, 557

Katz,M. M., 58, 66, 67 Koenig, K. P., 528, 559
Kaufman, A., 304, 352, 572, 573, 574, Kohlberg, L., 119, 209
625, 628, 631 Kolb, D. A., 255, 288
Kaufmann, H., 382, 419 Kolb, L. C., 513, 559
Kausler, D. H., 137, 209 Kolvin, I., 506, 559
Kawamura, S., 147, 209 Kopp, R. E., 572, 573, 574, 628
Kaye, D., 602, 628 Koppman, J. W., 361, 419
Keenan, B., 576, 627 Korman, M., 532, 559
Keister, M. E., 91, 115 Korn, S. J., 533, 559
Kelleher, R. T., 227, 288 Korpmann, E., 531, 559
Keller, L., 576, 629 Koser, L., 420
Kelley, C. 245, 246, 287, 288, 418
S., Kraft, T., 459, 460, 496, 549, 559
Kelley, H. H., 46, 69, 95, 115, 136, Krapfl, J.
E., 435, 441, 442, 449, 496
209, 446, 496, 599, 601, 628 Krasner, L., 234, 258, 259, 262, 267,
Kellogg, L. A., 147, 209 284, 288, 292, 571, 579, 626,
Kellogg, W. N., 147, 209 629, 632
Kelly, G. A., 163, 209 Krauskopf, J., 360, 365, 420
Kelman, H. C, 85, 115, 600, 612, 613, Krauss, L, 622, 629
629 Kriazhev, V. L, 172, 209
Kendall, J. W., Jr., 390, 419, 440, 496 Krumboltz, J.
D., 196, 209, 471, 494
Kendell, R. E., 540, 559 Kruseman, A., 459, 499
Kendrick, D. C, 394, 417, 475, 494 Kuethe, J. L., 526, 556, 591, 627
Kennedy, W. A., 394, 419 Kuhn, D. Z., 148, 209, 384, 419
Kenny, D. T., 382, 419 Kupers, C. J., 33, 64, 83, 113, 136,
Kerr, H. T., 546, 555 148, 193, 205
Kessen, M. L., 218, 289 Kurland, S. H., 53, 66
Kiersey, D. W., 344, 352 Kurz, M., 53, 66
Kimble, G. A., 20, 66, 217, 244, 288, Kushner, M., 504, 510, 518, 559
356, 360, 390, 419, 440, 496
Kimbrell, D. L., 194, 209
Kimeldorf, F. J., 502, 557 La Dou, J., 533, 560
Kimmel, H. D., 25, 66 Lackowitz, I., 262, 286
Kinder, M. L, 227, 289 Lacey, J. I., 426, 427, 496
King, B. T., 611, 612, 628 Landeen, J., 244, 291
King, G. F., 232, 246, 288 Lane, W. C., 622, 626
Kirchner, J. H., 403, 418, 419 Lang, A., 541, 560
Kirschner, P. 602, 628 Lang, P. J., 432, 433, 434, 435, 448,
Kirtner,W. L., 53, 66 449, 457, 465, 471, 474, 496,
Kish, G. B., 219, 288 497
Kissel, S., 483, 496 Lanzetta, J.
T., 128, 137, 209, 210
Klaus, D. J.,
280, 287 Lard, K. E., 147, 205
Klein, G. S., 593, 629 Larkin, P., 278, 286
Klein, 53, 68
J. J.,
Laverty, S. G., 551, 555, 580, 629
Klein, M., 92, 96, 115 Lavin, N. I., 502, 504, 510, 518, 555,
Klynn, G. A., 156, 210 559
Knight, R. O., 53, 66 Lawrence, D. H., 364, 365, 419
Knob, K., 515, 557 Lawson, K., 438, 494
Knoblock, E. C., 545, 555 Lawson, R., 571, 632
Koch, A. M., 147, 216 Lazarus, A. A., 54, 67, 164, 210, 216,
Koch, C., 256, 292 430, 455, 457, 458, 459, 460,
642 Author Index

464, 465, 469, 471, 475, 482, Litin, E. M., 512, 513, 557, 559
497, 500 Little, J. C, 410, 420
Lazarus, R. S., 168, 210, 215, 438, Littman, I., 195, 213
494, 588, 629 Littman, R. A., 381, 421
Lazovik, A. D., 432, 433, 449, 457, Liverant, S., 444, 494
465, 471, 474, 496, 497 Liversedge, L. A., 332, 352, 354
Lazowick, L., 119, 210 Llewellyn Thomas, E., 194, 215
Leary, T., 59, 67 Locke, E. A., 613, 625
Leat, M., 193, 215 Lockhart, R. A., 362, 418, 426, 495,
Lee, D., 152, 209 582, 627
Lefkowitz, M. M., 136, 194, 210 London, P., 87, 115
Leitenberg, EL, 246, 288, 339, 340, Longenecker, E. G., 360, 365, 420
352, 398, 399, 414, 419, 448, Longstreth, L. E., 360, 420
497, 518, 555 Lorr, M., 58, 66, 67, 69
Lemere, F., 508, 511, 535, 537, 538, Lovaas, O. I., 75, 78, 90, 105, 115,
541, 543, 559, 562 124, 138, 142, 148, 151, 152,
Leon, H. V., 475, 497 153, 154, 155, 156, 157, 210,
Lessac, M. S., 302, 353 227, 230, 234, 244, 246, 259,
Lesser, G. S., 137, 210 288, 289, 328, 329, 330, 349,
Lester, D., 532, 536, 559 352, 611, 629
Leuba, C, 133, 210, 220, 288 Luchins, A. S., 144, 195, 210
Leuser, E., 396, 421 Luchins, E. H., 144, 195, 210
Leventhal, H., 95, 114 Lumsdaine, A. A., 140, 209, 600, 628
Levin, G. R., 226, 288 Lund, D., 246, 287
Levin, H., 235, 291, 338, 353, 379, Luria, A. R., 40, 67
421
Levin, S. M., 571, 578, 629, 631
Levine, S., 42, 67, 140, 210
Levis, D. J., 401, 403, 419, 420, 422 Maccoby, E. E., 136, 137, 139, 210,
Levitt, E.B., 88, 114, 255, 286, 585 235, 291, 338, 353, 379, 421,
Levitt, E. E., 53, 67 595, 629
Levitt, T., 595, 627, 629 Maccoby, N., 132, 139, 140, 210, 212,
Levy, D. M., 47, 67 214, 595, 629
Levy, L. H., 572, 629 MacCulloch, M. J., 335, 337, 350, 352
Levy, N., 357, 361, 421 Mackay, H. A., 580, 629
Lewis, D. J., 612, 629 Mackintosh, I., 361, 420
Lewis, J., 21, 68 Macklin, E. A., 544, 545, 555
Lewis, M., 238, 288 Maddi, S. R., 362, 421
Lhamon, T. W., 53, 59, 63 Madsen, C. H., Jr., 148, 196, 209,
Lichtenstein, F. E., 311, 317, 352 211, 367, 384, 419, 420, 460, 497
Liddell, H., 484, 497 Mager, R. F., 73, 116, 253, 289
Lidz, T., 4, 5, 67 Mahoney, M. J., 189, 213
Liebert, R. M., 33, 34, 67, 68, 138, Mahrer, A. R., 72, 116
182, 208, 213, 215, 313, 352 Malinowski, B., 511, 560
Lienert, G. A., 529, 559 Malleson, N., 403, 420
Lifshitz, K., 411, 412, 420 Mallick, S. K., 382, 420
Linder, D. E., 609, 629 Mandel, I. J., 362, 363, 364, 416, 580,
Lindley, R. H., 362, 420, 421 582, 583, 625, 629
Lindsley, O. R., 280, 286 Mandler, G., 140, 211
Lippitt, R.,194, 199, 208, 210, 213 Mann, J., 455, 497
Lipsher, D. H., 79, 81, 113, 259, 285 Mann, L. L, 360, 419
 Author Index 643

Mannheim, K., Ill, 116 McMains, M. J.,

33, 34, 67, 182, 215
Marcia, J.
494
E., 445, McMillan, D. E., 340, 352
Marder, M., 444, 497 McNair, D. M., 58, 67
Mardones, J., 532, 560 McNamara, H. J., 360, 361, 420
Margolius, G. J., 139, 140, 211 McNeil, E. B., 100, 116
Marks, I. M., 457, 458, 497, 499, 510, Mealiea, W. L., Jr., 404, 405, 420
511, 516, 517, 518, 520, 527, Meehl, P. E., 15, 67, 222, 289
557, 560, 602, 629 Mees, H., 27, 69, 329, 340, 354, 520,
Marlatt, G. A., 30, 67, 166, 211 560
Marmor, J.,
93, 116 Meisel, J.,
156, 210
Marshall, H. R., 148, 161, 211 Melamed, 435, 448, 497
B.,
Marston, A. R., 33, 34, 66, 67 Mello, N. K., 540, 560
Martensen-Larsen, O., 544, 546, 560 Melvin, K. B., 442, 497
Martin, G. L., 227, 289 Mendelson, J. H., 533, 540, 560
Martin, M., 274, 289 Menlove, F. L., 33, 64, 75, 113, 131,
Martin, P. L., 246, 290 134, 137, 141, 148, 167, 177,
Martin, R. R., 319, 349, 353 178, 179, 180, 181, 182, 193,
Martyn, M. M., 321, 353 195, 204, 205, 397, 415, 476,
Mason, W. A., 483, 497 493
Masserman, J. H., 175, 211, 311, 352, Mensh, I. N., 53, 67
502, 530, 532, 560 Merton, R. K., 4, 67
Masters, J., 528, 559 Mestrallet, A., 541, 560
Masters, J.
C, 146, 211 Metz, J. R., 128, 212
Mather, M. D., 328, 354, 393, 394, Meyer, V., 389, 393, 420, 464, 476,
395, 422, 460, 485, 500 497
Matthews, P. C, 552, 560 Mezei, L., 193, 215
Mausner, B., 136, 211 Michael, D. N., 139, 140, 210, 212
Max, L. W., 518, 560 Michael, J.,
17, 27, 64, 245, 260, 285,
May, J. G., Jr., 137, 205 369, 370, 371, 415
Maynard, H., 102, 114, 275, 286 Migler, B., 435, 498
McBrearty, J. F., 476, 495 Miles, H. W. H., 59, 67
McCandless, B. R., 382, 420 Miles, R. C, 219, 289
McCarthy, R., 534, 559 Miller, E. C, 175, 212, 539, 541, 560
McClearn, G. E., 532, 561 Miller, H. 498
R., 437,
McCleary, R. A., 588, 629 Miller, L. B., 238, 289
McClelland, D. C, 361, 420 Miller, M., 511, 555
McConaghy, 559
N., 515, Miller, M. M., 506, 539, 541, 560,
McConnell, J. V., 100, 116 584, 630
McCord, J., 379, 420 Miller, N. E., 25, 39, 51, 65, 67, 68,
McCord, W., 379, 420 121, 132, 136,
137, 147, 196,
McDavid, J. W., 31, 67 197, 198, 218, 220, 289,
212,
McDonald, F. J., 83, 113, 144, 145, 296, 350, 374, 378, 388, 392,
148, 149, 205, 211 409, 416, 417, 420, 473, 485,
McDonnell, G. J., 529, 559 486, 493, 498, 531, 555, 560,
McDougall, W., 120, 211 586, 591, 611, 626, 630
McGown, D. R., 361, 420 Miller, P. E., 79, 81, 113, 259, 285
McGuire, R. J., 257, 289, 505, 510, Miller, R. E., 169, 170,212
513, 518, 519, 526, 528, 560 Miller, S., 518, 521,562
McGuire, W. J., 140, 211, 599, 601, Minge, M. R., 248, 289
608, 624, 629, 630 Minke, K. A., 244, 249, 291
McKeown, C. E., 545, 558 Mirsky, I. A., 169, 170, 212
644 Author Index

Mischel, W., 14, 15, 34, 53, 68, 83, Nisbett, R. E., 489, 498
113, 130, 136, 146, 148, 149, Noelpp, B., 20, 68
205, 208, 212, 313, 352, 598, 630 Noelpp-Eschenhagen, I., 20, 68
Mitchell, L. E., 485, 498 Notterman, J. M., 362, 386, 387, 421,
Mohonev, J. L., 460, 495 426, 498
Mohr, J.' P., 246, 285 Nurnberger, J.
I., 88, 114, 255, 286,
Moltz, H., 357, 361, 362, 421 585, 627
Moore, N., 21, 68, 435, 437, 498 Nuttin, J. M., Jr., 609, 610, 630
Mordkoff, A., 168, 210, 215
Moreno, C. M., 531, 558
Moreno, J. L., 164, 212
Oakes, W. F., 603, 628
Morgan, C. L., 120, 212
O'Connell, D. C., 567, 630
Morgenstern, F. S., 518, 560
O'Connor, N., 460, 498
Morrice, D. J., 166, 211
O'Connor, R. D., 162, 163, 212
Morrisett, L. N., Jr., 139, 212
Odom, R. D., 138, 213, 219, 289, 291
Morrison, D. C, 105, 117
Ofstad, N. S., 136, 213
Morse, W. H., 339, 352
Ogawa, N., 169, 212
Moser, D., 24, 68
Ohlin, L. E., 4, 65
Mott, D. E. W., 182, 208
O'Hollaren, P., 508, 535, 537, 543,
Mouton, J. S., 136, 194, 196, 206,
559, 562
208, 210
O'Keeffe, K., 518, 561
Mowrer, O H., 7, 68, 119, 130, 132,
O'Leary, K. D., 105, 116, 240, 262,
165, 212, 220, 289, 295, 311,
290
314, 316, 317, 352, 354, 356,
O'Leary, S., 105, 116
385, 417, 421, 431, 498, 503,
Oliveau, D. C, 448, 497
561
Olmstead, J. A., 196, 208
Mowrer, R. A., 248, 287, 378
Opton, E. M., Jr., 438, 494
Moyer, K. E., 362, 420, 421
Osgood, C. E., 607, 630
Mueller, M. R., 340, 354
Osinski, W., 544, 545, 546, 556
Murphy, J. V., 169, 212
Osmond, H. O., 245, 285
Murray, E. 79, 81, 82, 116, 259,
J., Oswald, I., 510, 518, 523, 551, 561
289, 473, 498
Ottenberg, P., 21, 68
Mussen, P. H., 83, 116, 130, 136, 209,
Ounsted, C, 152, 209
212
Myers, A. K., 220, 289
Myers, J. K., 58, 63
Myers, J. M., 53, 59, 63 Page, H. A., 358, 388, 389, 421
Page, M. L., 76, 116
Paige, A. B., 360, 420
Nachmias, J., 356, 418 Paivio, A., 41, 68, 140, 213
Nanda, P. C, 603, 626 Panyan, M., 262, 287
Narrol, H. G., 262, 289, 548, 561 Parke, R. D., 128, 193, 195, 213, 216,
Nash, E. H., Jr., 53, 58, 59, 65, 66 302, 303, 307, 352, 354, 632
Neisser, U., 356, 418 Parker, A. L., 83, 116, 130, 212
Nelson, F., 479, 498 Parloff, M. 213
B., 166,
Nelson, K., 157, 210 Parr, D., 516, 556
Nelson, S. E., 319, 352 Parsons, T., 119, 213
Newcomb, T. M., 598, 608, 624, 630 Pascal, G. R., 54, 68
Newman, R. G., 58, 68 Paschke, R. E., 31, 68
Nigro, M. R., 339, 352 Pastore, N., 305, 353
Nikelly, A. G., 513, 563 Patterson, C. H., 81, 116
 Author Index 645

Patterson, G. R., 6, 65, 90, 105, 116, Pullan, B. R., 522, 555
195, 213, 246,
290, 344, 349, Putzey, L. J.,
164, 207
381, 416, 444, 498
421,
Paul, G. L., 54, 68, 452, 453, 454,
465, 471, 481, 498 Quagliano, J., 297, 353
Pawlowski, A. A., 531, 561 Quinn, J. T., 511, 538, 561
Peacock, L. J., 502, 561 Quist, R. W., 319, 353
Pearce, J. F., 518, 560
Pelser, H. E., 20, 65
Pentony, P., 83, 116, 166, 213 Rabon, D., 262, 287
Perkins, R. B., 529, 556 Rachman, S., 11, 69, 435, 439, 449,
Perloff, B., 35, 36, 64, 124, 154, 210, 460, 469, 497, 499, 504, 510,
227, 230, 256, 285, 289, 585, 513, 518, 519, 520, 527, 560,
617, 624 561
Perloff, W. H., 521, 561 Raines, J.,
434, 500
Perry, H. M., 139, 213 Ramsay, R. W., 459, 499
Persinger, G. W., 572, 631 Ratliff, R. G., 577, 578, 631
Peters, A. D., 59, 69 Ratner, S. C., 361, 416
Peters, H. N., 246, 290 Rau, L. C., 79, 117, 259, 292
Peterson, R. F., 105, 115, 117, 124, Rausch, H. L., 46, 68
125, 204, 230, 245, 285, 381, Raush, H. L., 92, 115
418 Rawnsley, K., 460, 498
Philbrick, D. B., 569, 570, 630 Ray, A. A., 447, 500
Phillips, E. L., 240, 273, 290 Ray, R., 105, 116, 246, 289
Piaget, J.,
121, 144, 213 Raymond, M. J.,
510, 518, 528, 551,
Pinshoff, M., 337, 352
J. 561
Pittman, D. J., 534, 550, 561 Razran, G. H. S., 22, 68, 580, 582,
Plager, E., 420 602, 630
Piatt, S. A., 358, 422 Reahl, J. E., 269, 286
Podnos, B., 545, 561 Reber, A., 302, 348
Polansky, N., 194, 199, 208, 210, 213 Redl, F., 199, 213, 226, 290
Polin, A. T., 389, 400, 401, 403, 421 Reed, G. F., 449, 495
Polish, E., 532, 556 Reed, J. L., 148, 213, 460, 494
Pollio, H. R., 91, 108, 117, 246 Rees, W. L., 518, 560
Poppen, R. L., 390, 403, 421, 428, Reis, E. E. S., 488, 496
429, 440, 498 Renner, K. E., 231, 290
Porro, C. R., 193, 213 Rescorla, R. H., 296, 353, 425, 427,
Porter, L. W., 42, 64 499
Porter, R. W., 22, 69 Resnick, L. B., 253, 290
Porterfield, A. L., 535, 557 Reynolds, D. J., 433, 449, 457, 465,
Poser, E. G., 57, 68 497
Postman, L., 566, 568, 569, 570, 575, Reynolds, N. J., 77, 114, 246, 284
627, 630 Rheingold, H. L., 219, 290
Powell, J., 307, 312, 353 Richard, H. C., 260, 290
Powers, R. B., 227, 289 Richter, C. P., 532, 561
Pratt, C. C., 72, 116 Rickles, N. K., 53, 68
Pratt, S., 255, 292 Rifkin, B. G., 460, 499
Preisler, L., 138, 216 Rigler, D., 92, 115
Premack, D., 221, 229, 290, 587, 630 Rimland, B., 152, 213
Prince, A. L, 444, 498 Rimm, D. C., 189, 213
Proctor, S., 438, 479, 498 Rioch, M. J., 58, 68
646 Author Index

Riopelle, A. J.,
147, 207 Sanders, D. H., 102, 114, 275
Risley, T. R., 27, 69, 90, 105, 116, Sanders, R., 269, 286
151, 154, 213, 281, 292, 329, Sanderson, R. E., 551, 555
330, 332, 340, 343, 353, 354 Sandler, J., 297, 353, 504, 510, 518,
Ritter, B. J.,
17, 64, 75, 91, 104, 113, 559
167, 182, 183, 184, 186, 188, Sargant, W., 411, 421
189, 191, 204, 213, 364,
190, Sargent, W., 551, 561
415, 450,
457, 465, 476, 493, Saslow, G., 59, 69
597, 605, 624
604, Sasmor, R. M., 576, 631
Robinson, L. H., 545, 561 Sassenrath, J. M., 40, 69, 566, 568,
Roby, T. B., 218, 291 569, 575, 630, 631
Rocha e Silva, M. L, 249, 290 Sauerbrunn, D., 312, 350
Rodgers, D. A., 532, 561 Saul, L. J.,
396, 421
Rogers, C. R., 55, 68, 81, 82, 83, 92, Savoye, A. L., 320, 353
116, 614, 630 Schachter, J., 381, 421, 487, 499
Rogers, J. M., 235, 259, 290 Schachter, S., 196, 214, 256, 290, 381,
Rokeach, M., 599, 630 421, 488, 489, 498, 499
Rome, H., 396, 421 Schaefer, H. H, 246, 290
Romney, A. K., 595, 629 Schaeffer, B., 124, 154, 210, 227,
Roos, P., 248, 290 230, 289
Rosekrans, M. A., 193, 213 Schanck, R. L., 596, 631
Rosen, ]. N., 92, 96, 116 Schaul, L. T., 147, 204
Rosen, S., 199, 210 Schein, E. H., 128, 137, 194, 214
Rosenbaum, M. E., 30, 68, 136, 137, Scherrer, H., 583, 628
196, 206, 207, 214 Schmidt, E., 518, 521, 527, 562
Rosenberg, M. J.,
598, 599, 606, 607, Schneider, R. A., 485, 499
608, 609, 611, 612, 624, 630 Schoenfeld, W. N., 362, 386, 387,
Rosenblith, J. F., 136, 214 421, 426, 498
Rosenhan, D., 34, 68, 196, 214 Schofield, W., 59, 69
Rosenthal, D., 81, 83, 116, 166, 214 Schroeder, H. G., 529, 562
Rosenthal, R., 446, 499, 572, 631 Schubot, E. D., 435, 437, 440, 457,
Rosenthal, T. L., 23, 64, 95, 116, 137, 499
171, 173, 205, 274, 289, 380, Schutz, R. E., 226, 291
415, 455, 459, 460, 497, 499 Schwartz, A. N., 166, 214, 266, 291
Ross, D., 32, 64, 83, 113, 136, 137, Schwartz, M. S., 261, 291
148, 194, 196, 205, 214, 601, Schweid, E., 105, 115, 381, 418
624 Scobie, S. R., 574, 631
Ross, S. A., 32, 64, 83, 113, 136, 148, Scott, P. M., 385, 421
194, 196, 205, 214, 601, 624 Seager, C. P., 475, 499
Rotenberg, I. C, 307, 353 Sears, R. R., 235, 291, 338, 353, 378,
Rubenstein, B. D., 227, 289 379, 417, 421
Rubinstein, E. A., 58, 66, 67, 69 Sedlacek, F., 515, 557
Ruck, F., 541, 561 Seidel, R. J., 224, 291
Ruckmick, C. A., 168, 207 Seltzer, A. L., 515, 558
Russo, S., 105, 116 Sensibar, M. R., 531, 556
Seward, J. P., 357, 361, 421
Shames, G. H., 318, 353
Shanahan, W. M., 541, 561
Salzinger, K., 258, 260, 290 Shannon, D. T., 454, 498
Salzinger, S., 260, 290 Shaver, K., 171, 215
Sampen, S. E., 244, 292, 384, 423 Shaw, D., 105, 116, 246, 290
 Author Index 647

Shaw, I. A., 545, 561 215, 295, 296, 302, 304, 311,
Shaw, M. E., 164, 207 316, 349, 353, 358, 387, 422,
Sheehan, J.
G., 318, 319, 320, 321, 425, 426, 427, 431, 474, 498,
322 353 500
Sheffield' F. D., 132, 133, 139, 140, Solyom, L., 518, 521, 562
209, 211, 214, 218, 291, 600, Speisman, J. C., 92, 116, 168, 210,
628 215
Shepard, M. C, 578, 631 Spence, D. P., 593, 629, 631
Shepard, R. N., 567, 631 Spence, K. W., 198, 207, 362, 422,
Sherman, A. R., 485, 486, 499 460, 500, 508, 562, 582, 631
Sherman, A., 122, 123, 124, 125,
J.
Spiegler, M.
D., 182, 215
158, 204, 206, 214, 230, 246, Spielberger, C. D., 565, 566, 568,
260, 285, 291 569, 577, 578, 631
Sherrick, C. C, Jr., 318, 353 Spohn, H. E., 8, 69
Shlien, J. M., 515, 558 Spradlin, J.
E., 248, 262, 287
Shoben, E. J., Jr., 81, 116, 473, 483, Staats, A.W., 226, 236, 244, 248,
499 249, 250, 251, 291, 603, 631
Shoemaker, D. J., 318, 320, 349 Staats, C. K., 226, 291, 603, 631
Shrovon, H. J., 411, 421 Stampfl, T. G., 401, 422
Sidman, M., 46, 69, 243, 291, 312, Stanley, W. 290
C., 219,
351, 386, 421, 531, 561, 616, Stanton, A. H., 261, 291
631 Stassi, E.
J.,
320, 354
Siegel, G. M., 319, 353 Stein, M., 21, 68
Silber, E., 58, 68 Steinberg, F., 317, 349
Silberman, H. F., 253, 291 Stephens, H. D., 532, 559
Silverman, I., 460, 495 Stephens, L., 329, 343, 351
Simmel, E. C, 389, 415 Stevenson, H. W., 219, 291, 444, 500
Simmons, J. J., 226, 288 Stevenson, I., 457, 460, 467, 495,
Simmons, J. Q., 227, 289 500, 525, 562
Simon, A., 544, 545, 555 Stiles, W. B., 380, 417
Simon, R., 269, 286 Stingle, K. G., 123, 208
Simon, S., 31, 68 Stoke, S. M., 119, 215
Singer, B. A., 476, 495 Stollak, G. E., 528, 562
Singer, J.
E., 381, 421, 488, 499 Stoller, R.
J.,
512, 562
Skinner, B. F., 15, 24, 27, 29, 38, 65, Stolurow, L. M., 253, 291
69, 82, 116, 122, 196, 214, 240, Stone, A. R., 53, 58, 59, 65, 66
291, 360, 406, 417, 421, 565, Stone, G. B., 269, 286
616, 631
627, Storms, L. M., 317, 354
Skolnik, J.
562
H., 535, Stotland, E., 171, 215
Slack, C. W., 227, 291 Strahley, D. F., 474, 500
Slamecka, N. J., 360, 421 Straughan, J.,
246, 291
Slivka, R. M., 308, 352 Strel'chuk, I. V., 539, 562
Sloane, H. N., Jr., 154, 214, 244, 292, Stuart, R. B., 88, 117, 257, 258, 292,
343, 353, 384, 421, 423 528, 562
Slobin, D. I., 151, 214 Stunkard, A. J., 256, 257, 292
Slucki, H., 22, 69 Sturm, I. E., 164, 215
Smart, R. G., 530, 562 Sturmfels, G., 428, 495
Smith, E. W. L., 444, 499 Surridge, C. T., 359, 415
Smith, G. H., 602, 631 Sutherland, E. H., 529, 562
Snyder, C. R., 534, 535, 561, 562 Sweetland, A., 92, 114
Solomon, R. L., 41, 69, 131, 147, 206, Sylvester, J.
D., 332, 352, 354
648 Author Index

Syme, L., 529, 562 Turner, L. H., 41, 69, 131, 215, 302,
Szasz, T. S., 2, 17, 18, 19, 69 304, 353, 425, 500
Turner, R. H., 598, 630
Twining, W. E., 139, 215
Tyler, D. W., 360, 365, 417, 422
Tannenbaum, P. H., 607, 608, 624, Tyler, V. O., Jr., 343, 349, 354
630
Tarde, G., 120, 215
Tate, B. G., 329, 331, 354 Ullmann, L. P., 259, 292, 460, 497,
Taub, E., 131, 215 571, 579, 626, 629, 632
Taylor, D. M., 59, 69 Ulrich, R. E., 314, 351
Taylor, J. A., 460, 500 Uno, T., 481, 495
Teodoru, D., 131, 215 Usdansky, B. C., 58, 68
Terrace, H. S., 25, 69, 440, 500
Terry, D., 4, 67
Terwilliger, J. S., 8, 69 Valins, S., 447, 500
Test, M. 206
A., 196, Vallance, M., 257, 289, 505, 510,
Tharp, R. G., 274, 289 518, 526, 528, 560
Thibaut, J. W., 46, 69 Van Riper, C., 319, 354
Thimann, J., 541, 547, 562 Van Toller, C., 297, 351
207
Thistlethwaite, D. L., 148, Vandell, R. A., 139, 215
Thomas, D. R., 420 Vanderhoof, E., 551, 556
Thomas, J., 233, 260, 288 Varenhorst, B. B., 196, 209
Thompson, G. N., 548, 562 Verplanck, W. S., 565, 631
Thomson, L. E., 246, 288, 419 Vikan-Kline, L. I., 572, 631
Thoresen, C. E., 196, 209 Vinogradov, N. V., 460, 500
Thorndike, E. L., 146, 215, 565, 631 Voegtlin, W. L., 508, 511, 535, 537,
Thome, G. L., 274, 289 538, 541, 542, 543, 547, 559,
Thorpe, J. G., 502, 504, 510, 518, 562
521, 527, 555, 559, 562 Von Mering, O., 262, 287
Thorpe, W. H., 197, 215
Tighe, T. J., 339, 350
Tilton, J.
288
R., 232, 246, Wagner, A. R., 359, 422, 531, 555
Timmons, E. 354
O., 316, Wagner, M. V., 567, 630
Tinbergen, N., 197, 215 Wahler, R. G., 91, 105, 108. 117, 238,
Tobias, S., 259, 292 246, 292
Tolman, C. W., 340, 354 Wall, A. M., 238, 288
Tooley, J. T., 255, 292 Wall, J. H., 535, 562
Tordella, C. L., 529, 562 Wallace, J. A., 541, 563
Tosti, D. T., 85, 115 Wallerstein, R. S., 72, 117, 546, 563
Trapold, M. A., 425, 500 Walters, R. H., 3, 14, 76, 77, 82, 104,
Trapp, E. P., 137, 209 113, 117, 118, 120, 128, 132,
Traxel, W., 529, 559 136, 137, 158, 193, 194, 195,
Truax, C. B., 79, 81, 82, 117, 166, 205, 209, 213, 215, 216, 235,
215, 259, 292 285, 302, 303, 307, 338, 349,
Tucker, I. F., 136, 214 352, 354, 379, 384, 415, 418,
Tulving, E., 140, 215 422, 622, 625, 632
Tupper, W. E., 535, 537, 559 Walton, D., 21, 69, 328, 354, 373,
Turner, D. W., 175, 212, 539, 541, 393, 394, 395, 407, 422, 460,
560 485, 500
Turner, J.
A., 600, 624 Warden, C. J., 147, 216
 Author Index 649

Watson, J. A., 502, 561 154, 213, 226, 227, 234, 237,
Watson, J. B., 146, 216 245,246, 248, 249, 262, 281,
Watson, L. S., Jr., 248, 287 284,285, 286, 287, 288, 291,
Weinberg, N. H., 474, 500 292, 329, 340, 343, 353, 354,
Weinberg, S. K., 261, 286 375,377, 414, 418
Weinberger, N. M., 388, 422 Wolfgang, M. E., 381, 423
Weiner, H., 339, 354, 585, 632 Wolpe, J., 11, 69, 75, 76, 117, 164,
Weingarten, E., 269, 286 185, 216, 430, 431, 435, 444,
Weinstein, M. S., 172, 207 457, 458, 459, 460, 464, 466,
Weinstein, W. K., 571, 632 469, 471, 472, 474, 476, 478,
Weisman, R. G., 358, 416, 422 479, 483, 498, 500, 505, 525,
Weiss, R. L., 571, 629, 632 526, 562, 563
Weiss, W. W., 600, 628 Wolpin, M., 434, 500
Werry, J. S., 407, 417 Woodward, M., 516, 563
Wessen, A. F., 261, 292 Worell, J., 594, 632
West, L. J., 617, 627 Worell, L., 594, 632
Westley, W. A., 82, 114 Wortz, E. C, 365, 422
Whalen, C. K., 33, 64, 148, 157, 205, Wright, B. A., 151, 207
210 Wright, D. E., 419
Whalen, R. E., 218, 292 Wulff, J. J., 218, 291
Wheeler, L., 194, 216, 379, 422, 489, Wynne, L. C, 358, 387, 422, 426,
499 474, 499, 500
White, G. M., 196, 214
White, J. G., 393, 422
Whitener, R. W., 513, 563
Yablonsky, L., 6, 69, 381, 423, 551,
Whiting, J.
W. M., 311, 316, 317,
563
354, 379, 423
Yanushevskii, I. K., 546, 563
Whitlock, C, 227, 292
Yarrow, M. R., 385, 421
Wickens, D. D., 362, 423, 582, 632
Yates, A. J., 48, 69, 405, 408, 423
Wike, E. L., 361, 420
Young, A. G., 366, 423
Wikler, A., 533, 558
Young, B. G., 513, 519, 560
Wilde, G. ]. S., 528, 563
Yum, K. S., 530, 532, 560
Williams, C, 368, 422
Williams, C. D., 105, 117, 369, 423
Williams, R. I., 259, 292
Wilson, F. S., 128, 158, 216 Zarrow, M. X., 531, 561
Wilson, H., 473, 495 Zaslove, M., 478, 500
Wilson, W. C, 136, 137, 210 Zax, M., 54, 68, 485, 498
Wilson, W. J., 361, 423 Zeilberger, 244, 292, 384, 423
J.,
Winder, C. L., 79, 81, 117, 259, 292 Zeisset, R. M., 460, 500
Wineman, D., 226, 290 Zerbolio, D. J., Jr., 358, 422
Winitz, H., 138, 216 Zilboorg, G., 93, 117
Winkel, G. H., 105, 117 Zimmer, H., 58, 65
Winokur, S., 425, 500 Zimmerman, D. W., 227, 292
Winter, S. K., 255, 288 Zimmerman, E. H., 246, 292
Wischner, G. J., 318, 319, 354 Zimmerman, J., 246, 292
Wolf, M. M., 26, 27, 66, 69, 78, 90, Zimmerman, J. A., 339, 354
105, 109, 114, 116, 117, 151, Zubin, J., 53, 69
Subject Index

Aggression reinforced by pain cues, 344, 379-

brain-stimulated, 383 380
and catharsis, 159, 381-383 role of modeling influences in, 128-
cultural influences in, 379 129, 148, 193-195, 313, 379,
definition of, 380 383
discrimination training in, 132
14, role of prior training in, 77, 379,
disinhibition of, 128-129, 193-194, 383-384
379 and self-arousal mechanisms, 382
displacement of, 378 sex differences 128-129
in,
drive theory of, 379, 381 skill component 378-379
in,
and emotional arousal, 380-383 social learning theory of, 378-385
extinction-induced, 368, 374—375 stimulus control of, 132
frustration-aggression hypothesis of, value judgments in, 3, 5
378 verbal, 385
frustration and, 384 vicarious reinforcement of, 128-
inhibition of, 128-129, 193 129, 160-161, 193-195, 379
intentionality criterion of, 380 Alcohol
learning-performance distinction, compared with tranquilizers, 529-
128-129, 378-381 531, 533
and mass media influences, 196 effects on avoidance and escape be-
modified through havior, 530-533
aversive counterconditioning, 527 effects on emotional arousal, 529-
cognitive restructuring, 382-383 531
differential reinforcement, 76, pharmacological properties of, 529
106-107, 246, 384-385 reinforcing properties of, 529-530,
extinction, 76, 106-107, 368- 533
369, 385 Alcohol drinking behavior
modeling, 76, 128-129, 159-161, addictive, 534, 536
379, 384 under aversive conditions, 531-
reinforcement of competing be- 532
havior, 250-251, 384 learning through modeling, 535—
reinforcement withdrawal, 76, 536
106-107, 343-345, 384-385 learning through reinforcement,
and physiological arousal, 381, 487 534, 536
physiological correlates of, 381, measurement of, 540
487-489 reinforced by
positive reinforcement of, 6-7, 14, removal of aversive physiological
47-48, 76, 246, 368, 379- reactions, 533, 537
381 social rewards, 536-537
and reciprocal influence processes, stress-reduction, 529-530, 533,
47-48 535, 537
652 Subject Index

Alcohol drinking behavior (continued) treatment by positive reinforcement,

under self-selection conditions, 262, 273, 278-280
532-533 see also Aggression and Deviant
see also Alcoholism behavior
Alcoholism Anxiety
and aggression, 531 and autonomic arousal, 426-427,
genetic and endocrinological factors 431
in, 532 central theory of, 427-428
immediate versus delayed conse- counterconditioning of, 424
quences, 530, 533 extinction of, 186-187, 362-363,
in animals, 536 386-387
insulating factors in, 535 free-floating, 464
learning of, 533-537 generalization of, 308-310, 394-
maintaining mechanisms in, 529- 397, 409, 473
533, 535-537 hierarchies of, 430
parental patterns and, 535 peripheral theory of, 394-395, 426-
personality correlates of, 529 427, 431
psychodynamic theories of, 528, reduction as reinforcement, 43, 51,
534 301, 319-322
and self-reinforcement patterns, 37 reduction by
Skid Row, 550 drugs, 485^86, 490
sociocultural factors in, 534 food, 428-429, 480, 490
social-systems approach to treat- positive imagery, 439, 482, 490
ment of, 262, 549-550 relaxation, 440-441, 479, 481,
stress-induced, 532-533, 535-536 490
treatment by social stimuli, 482-485, 490
aversive counterconditioning, resulting from behavior deficits,
505-506, 511, 537-544 461
554
desensitization, 460, 549, stimulus determinants of, 364, 462-
development of competing be- 472
havior, 262, 548-549, 554 transmitted through modeling, 182
disulfiram, 544-547 vicarious extinction of, 177-191,
modification of self-reinforcement 186-187, 191-192
patterns, 549, 554 see also Emotion
symbolic aversion methods, 506, Anxiety stimulus dimensions
539 intensity of aversive behavior, 456,
see also Alcohol drinking behavior 469, 472, 485
Anorexia nervosa, 245-246, 370-371 intensitv of social reactions, 471-
Antisocial behavior 472
and differential association, 618, multiple, 472
621-622 number of emotion-provoking ele-
individualisticversus group treat- ments, 491
ment, 109 phvsical proximity, 455, 471
and normative sanctions, 6-7 symbolic-reality, 471
reinforcement influences in, 6—7, temporal, 452,' 471
379-381 Assertive behavior
role of modeling in, 379 and obsessive-compulsive disorders,
and self-reinforcement patterns, 394
37-38 and sexual behavior, 467-470
treatment by development of self- Asthma
regulatory functions, 619-622 conditioning of, 20-21
 Subject Index 653

stimulus control of, 21 external inducements, 608, 611

treatment by desensitization, 21, fear arousal, 95
435-436 incentive magnitude, 608-612
Attention organization of communications,
to aversive stimuli, 227—228 600
in classical conditioning, 583-584 prestige, 95-96
effect of punishment on, 538 rehearsing refutations, 600-602
evoked potentials and, 583-584 subject characteristics, 599—600
and fading procedures, 234 incentive theory of, 610-611
neurophysiology of, 583-584 induction through
in observational learning, 130, 136— affective change, 187, 579, 602-
138, 140, 146-148, 150, 152- 606, 623
153, 157-158 behavior change, 91, 165, 187,
peripheral versus central, 583-584 606, 623
reinforcement of, 137-138, 153, belief change, 595, 599-602
234 influence of vicarious reinforcement
thought control through, 576-587, 600-601, 604
in,

623 through modeling influences, 91,

Attention span 167, 187-190, 604-606
effect of reinforcement on, 226 and persuasive communications,
in hvperaggressive children, 226- 595-596, 599-602, 607
227 and parallel effects hypothesis, 597,
in retardates, 227 623-624
Attitude change and reinforcement support, 596,
accompanying aversive countercon- 601, 623
ditioning, 516-518 and response-generalization proc-
and behavior change, 91, 371, 595- esses, 611, 623
598, 607, 623 and response modinability, 596-
conditioning mechanisms in, 602- 597
604 through role playing, 165
consistency theories of, 597, 606- through self-persuasion, 611, 623
611, 623 and successful task experiences,
contingent versus noncontingent re- 613-614
inforcement, 609-611 Autism
defined, 597-599 characteristics of, 151-152
effects of experiential consequences counter-control in, 151-152
on, 613 treatment by
following desensitization treatment, aversive consequences, 153, 328-
91, 187, 579 332
through forced compliance, 609- differential reinforcement, 155,
610 246, 342
as a function of extinction, 151, 156, 375-377
amount of discrepant behavior, modeling, 152-158, 342
609, 611-612 reinforcement withdrawal, 341-
commitment, 596, 610-611 343
credibility of communicator, 94- Aversions
95, 600 drug-induced, 502-504, 523-524,
degree of choice, 608, 610 537-538, 553
discrepancy of communication, electricallv induced, 504-505, 516-
95-97, 600 517, 537, 553
effort expended, 608 symbolically induced, 505-506, 553,
654 Subject Index

Aversions (continued) transfer to behavioral responding,

see also Aversive countercondition- 516-517, 584
ing in treatment of
Aversive counterconditioning alcoholism, 505-506, 537-544
accompanying attitudinal changes, addictive behaviors, 505-506,
516-518, 602 528
as an associative process, 507 compulsive gambling, 511
and availability of alternative re- fetishism, 505, 523-524
sponses, 509, 522-525, 553- homosexuality, 506, 510-511
554 obesity, 506, 528
aversive stimuli compared, 503- obsessional ruminations, 505
506, 508 transvestism, 502-503, 524, 547,
based on 552-554
aversive electrical stimulation, Avoidance behavior
504-505, 516-517, 553 autonomically controlled, 394-396,
nauseous drugs, 502-504, 523- 426-427, 431
524, 537-538, 553 under cognitive control, 376-387
symbolically induced aversion, dual-process theory of, 41-42, 175,
505-506, 553 191-192, 424-425
cognitive influences in, 507-508 effects of alcohol on, 530-533
compared with disulfiram treatment, extinction of, 175, 186-190, 355,
543-547 362, 385-408
concomitant changes, 510, 516-518 reinforced by fear reduction, 51,
conditioned stimuli in, 503, 505, 310, 385, 414
509-511, 516, 520, 537-538 reinforced by positive consequences,
control of generalization in, 510- 398-399
511, 538-539 self-reinforcing character of, 386,
definition of, 502 414
differential, 520-522 sequential conditioning of, 401-402
hypnotically induced, 506 in sympathectomized animals, 426-
limitations of, 509, 522-525, 548 427
massed versus distributed trials, unsignaled, 46, 385-386
551-552 vicarious extinction of, 175—192,
and number of conditioning trials, 203
543 Awareness
and partial reinforcement, 508-509 and behavioral deficits, 579
predictors of response to, 520, 542, and conditioning of covert re-
547, 552-554 sponses, 576, 623
procedure for producing general- of correct responses, 564, 572-573
ized aversions, 511 definition of, 570
resistance to change in, 518-519 of eliciting stimuli, 564, 572
self-conditioning procedures, 505- influence on
506, 508, 527 classical conditioning, 443, 507,
as a self-control process, 507, 521, 553, 580-584, 622
552-553 extinction, 362-364, 413, 581-
stimulus-correlated versus response- 583
contingent, 501-502 generalization,581
symbolic, 506, 518, 520-521, 527- motor responding, 240, 573, 576,
528, 539, 584, 623 622
and timing of aversive events, verbal conditioning, 568-577
503-504, 507-509, 538 measurement of, 567-568, 570-572
 Subject Index 655

of reinforcement contingencies, 99- Causal processes

100, 240, 564, 572-573 analyzed in terms of
of rules, 40, 566-567 outcome control, 25-38, 62
of stimulus contingencies, 581-582 stimulus control, 19-25, 62
stimulus registration versus stimulus symbolic control, 38-45, 62, 564
recognition, 584, 622-623 comparison of psychodynamic and
and un observable reinforcers, 218, social-learning approaches, 9-
225, 576, 623 16, 48, 62-63
variables affecting, 571-572 and hypothetical response-produc-
verbally induced, 567, 572, 575, ing agencies, 9-16
581 and pseudo-explanations, 15-16,
see also Insight 38, 536
and trait theories, 13-15
verifiability of, 9-10, 16
see also Classical conditioning,
Behavior 5-6, 86, 105, 151,
deficits,
Reinforcement, Self -reinforce-
217, 232, 236, 461, 491, 579
ment, Stimulus control, Sym-
Behavioral objectives
bolic control, Vicarious rein-
ambiguously defined, 70, 72, 74, 89,
forcement
95, 111, 253, 255
Change agents
characteristics of, 73-74
reinforcement of, 104-106, 108-
in complex behaviors, 74
109
and decision-makers, 99-104, 109-
selection of, 104-109
111, 552
self as, 183-188, 254-257,
108,
and empirical issues, 101
476-479, 505-506, 508
and ethical issues, 81-85, 98, 101-
training through modeling, 105-
103, 109-111
106, 108, 247, 342-343
factors impeding, 76-98
Classical conditioning
and freedom of choice, 85-88
associative theory of, 444, 507, 553,
as guides for treatment strategies,
582-583
70, 73, 79-80, 112, 255
and attitude change, 602-604
and hypothetical internal states, 70-
of autonomic responses, 19-23,
73, 111
172-173, 580-583
and insight, 92-99
and avoidance behavior, 41-42,
intermediate, 74-76, 112
424-425
and "mental health," 99
cognitive influences in, 443, 579-
and phenomenological events, 89-
584
91
under curare, 41-42, 131, 224, 304,
and principle of gradation, 74-76,
425, 428
232, 390-399, 428-429
defined, 20, 62
in sociocultural change, 109-111
in desensitization therapy, 433, 490
therapist-imposed, 84, 103, 518-
through direct brain stimulation,
519, 540
20
ultimate, 74-75
and disfluencies, 320
dual-component theory of, 443, 490
as a function of awareness of stim-
Catharsis ulus contingencies, 443, 579-
versus development of constructive 584, 622
alternatives, 159-162 higher-order, 21-22, 600-601, 603
hypotheses concerning, 159 and instrumental procedures dis-
instigative effects of, 159, 381-383 tinguished, 25, 501-502
656 Subject Index

Classical conditioning (continued) hypothesis-testing theory of, 566-

interoceptive, 22—23, 582 567
under masked stimulus pairings, and informative feedback, 40, 566
581-583 through modeling, 148-150
masturbatory, 512, 519-520 of relevant attributes, 40, 149, 567
as mechanism of attitude change, Conditioned relaxation processes, 358
602-604 Conditioned suppression, 174, 308-
and reinforcement 635
pattern, 310, 314
response definition 343-344
in, Contact desensitization, 183, 185-190
role of attention in, 583-584 Contagion, see Disinhibitory effects,
self-arousal mechanisms in, 443, Modeling, Social facilitation
491, 507, 553, 580-583 Contiguity theory
of sexual arousal, 512-514 establishment of representational
subliminal, 588 systems and, 133
symbolic, 506-507, 518, 520, 527- of learning, 224-225
528, 539, 580 of modeling, 128-130, 133-143
symbolic versus actual UCS, 582 role of reinforcement in, 128-130,
temporal variables in, 442-444, 224-225
507-508, 583 Contingencies of reinforcement
transfer to behavioral responding, in attitude change research, 111-609
41-42, 424-425, 428, 449- cognitive mediation of, 231-232
451 combined, 282, 284
vicarious, 23, 118, 130, 167, 172- deleterious, 509, 520, 585
175, 202 in educational settings, 262
see also Aversive countercondition- in familial interactions, 246—248
ing, Vicarious conditioning fantasied, 42-45
Cognitive control group-oriented, 201, 261
of behavioral inhibitions, 300-301, individualistic, 280
336 interdependent, 201, 280-282, 284
of classical conditioning, 21, 443, management of, 85, 229, 230, 232,

507, 553, 579-584 239, 282

of emotional behavior, 39, 376-387, in modification of delinquency be-
427-428, 448, 586 havior, 109, 230, 262
of extinction, 359-364, 413, 581- peer-mediated, 246, 271, 273, 281
583 in psvchiatric facilities, 230, 261-
as a function of conditions of ac- 262
quisition, 582 role behaviors versus individual re-
and response consequences, 240- sponses, 274
242, 260, 577-579, 584-585, self-defeating, 266-267
622 self-imposed, 32-38, 254-257, 324,
of verbal conditioning, 566-569 585-586, 617
weak, 363-364, 413 situational,615
see also Imagery, Symbolic repre- in sociocultural change, 200-201
sentation, Thought processes verbal specification of, 240-242,
Complex behavior disorders 567, 572, 575, 581
component analysis of, 74-76, 89, Cooperative behavior
112 developed bv svmbolic modeling,
as multiple problems, 89-90 159-161
Concept learning established through positive rein-
and abstract stimulus control, 40 forcement, 280
associative theories of, 40 Cortical conditioning, 20
 Subject Index 657

Counterconditioning modeling of, 5

compared with reinforcement of, 5
covert extinction, 433, 435-438 Depressive feelings
extinction, 391-392, 428-429, reduced through positive reinforce-
474 ment, 246
flooding, 391-392 resulting from stringent self-rein-
modeling, 183-187 forcement, 37
pseudo-counterconditioning, 404- Desensitization
405, 435, 441-442 antagonistic activities in, 428-429,
and control of aversive stimuli, 437 432-441, 480-486, 490
influence of competing activities on, applicability of, 424, 459-462
428-429, 432, 435-441, 480- attitudinal effects of, 91, 187, 579,
486, 490 602, 604-606
influence of stimulus gradation on, and cognitive labeling processes,
391-392, 428-429, 439-442, 447-448
491 compared with
principle of, 424 extinction, 391-392, 428-429,
role of temporal variables in, 442- 437, 447
444 flooding, 391-392
transfer behavioral responding,
to implosive therapy, 404-405
41-42, 424-425, 428, 449- modeling, 183-187
451, 474, 490 pseudo-counterconditioning, 404-
see also Desensitization 405, 433, 441-442
Cross-cultural data component analysis of, 432, 435—
on aggression, 379 439
on alcoholism, 534 and control of aversive stimuli, 437
on sex behavior, 511-512 counterconditioning mechanism of,
on sexual reinforcers, 511—512 430-431, 443-444, 490
enhanced by supplemental treat-
ments, 188, 443-444, 451, 490
Decisional processes expectancy influences in, 445-446,
and selection of group goals, 110- 542-544
111 and exposure durations, 479, 492
in selection of group, 454-456
agents of treatment, 104-109 hierarchy construction, 430, 471-
content of treatment, 95, 104- 472
109 identification of determinants of
locus of treatment, 104-109, 111 emotional behavior in, 462-
methods of treatment, 101 472
objectives of treatment, 101-103, influence of stimulus gradation on,
112 391-392, 439-442, 491
sequential, 103-104 method of treatment, 430
in sociocultural, 109-112 physiological locus of, 431
Delay of gratification, 238 of primary versus generalization
Delay in reinforcement stimuli, 395-396, 470-471
and loss in behavioral control, 200- reinforcement influences in, 448,
201, 231-232, 509 451, 492
as symbolically mediated, 231-232 relationship influences in, 433-435,
Delusions 441-442
decline following extinction of de- resistance to change in, 461-462,
viant behavior, 370-371 491
658 Subject Index

Desensitization (continued) 26-27, 29, 47-48, 76, 247,

self-directed, 434-435, 448-449, 328-329, 366-367, 370-372
469, 476-479, 524 social labeling of, 2-9
symbolic, 430, 439, 461, 472-474, value judgments in,2—9
477, 479, 490-491, 584, 623 see also Psychopathology
transfer from symbolic to real-life Differential-probability principle
stimuli, 449-451, 474, 477, application of, 229, 587
491 definition of, 221-222
treatment of and relational properties of rein-
academic 455
anxieties, forcement, 222-223
alcoholism, 460, 549 and resolution of circularity, 222-
chronic frigidity, 469-470, 485 223
exhibitionism, 466 in selection of reinforcers, 222,
frigidity, 469-470, 525 229
hyperesthesia, 460 Differential reinforcement
impotence, 455-457, 467, 485, in discrimination learning, 23-25,
524 510-511, 512
insomnia, 460 and disparities between response
interpersonal anxieties, 460, 472 systems, 590
motor dysfunctions, 333-334 of low rates (DLR), 29
nightmares, 460 of other behavior (DRO), 29
obsessive-compulsive disorders, in response differentiation, 143-144
395-396, 460 Disciplinary interventions
phobic behavior, 186-189, 443- and inadvertent reinforcement of
460, 474 deviant behavior, 341-342,
psychosomatic disorders, 21, 344, 366-367
435-436 negative modeling in, 313
psychotic patients, 460-461 short-term versus long-term effects,
public speaking phobia, 435, 366-367
452-455 Discrimination
speech disorders, 327-328, 460 without awareness, 587-589
using physical stimuli, 474-476, and behavioral flexibility, 311
491 and classical conditioning, 591
vicarious, 455 and concept formation, 249, 567
see also Counterconditioning errorless, 440
Deviant behavior and generalization gradients, 308-
and abnormal-normal dichotomy, 3, 310, 473-474, 510-511
5, 7, 62, 99 matching-to-sample procedure, 123,
and availability of alternatives, 50- 249, 254
51 310
role of instructions in, 24,
demonology model of, 1 and stimulus 249
contrast,
learning-theory approaches to, 10- stress-induced breakdown, 308
16, 48, 62 through verbal labeling, 24, 510-
modeling of, 5, 379 511
normatively sanctioned, 3-4, 6-7 through vicarious reinforcement,
persistence of, 47-48, 366 30-31
psychodynamic approaches to, 1-3, Disinhibitorv effects
9-16, 43, 48 on aggression, 128-129, 193-194,
quasi-disease model of, 1-3, 10 379
and reference models, 621-622 of alcohol, 531
reinforcement of, 3, 5-7, 9-10, 17, defined, 193-194
 Subject Index 659

influence of reinforcement contrast counterconditioning of, 424, 428-

on, 195 429
informational influences in, 30-31, extinction of, 177-192
203 labeling of, 488-489
and model characteristics, 194-195 modeling determinants of, 167-
and response consequences to 172, 381, 488-489
model, 194-196, 203 physiology of, 381, 487-488, 492
of self -reward, 193 situational definition of, 488
and severity of prohibition, 194 stimuli for, 364, 462-472
on transgressive behavior, 194-195 theories of, 488
and vicarious extinction, 31-32, thought-induced, 171, 202, 364,
203 431, 448
see also Vicarious extinction vicarious arousal of, 23, 31-32,
Dissonance theory 167-172, 176, 202
of attitude change, 606-612 see also Anxiety, Emotional arousal
of extinction, 364-366 Emotional arousal
of internalization, 305-308 and attention, 583-584
Disulfiram and attitude change, 601
compared with aversive counter- and effects of alcohol on, 529-530
conditioning, 543-547 and generalization of conditioned
treatment of alcoholism, 544-547 suppression, 308-310
Drive and influence of models, 137, 167-
definition of, 218 172, 381, 488-489
incentive interpretation of, 223- and rate of conditioning, 173-174
229 symbolically induced, 171, 202,
operational differentiation from re- 364, 431, 443, 448, 580, 586-
sponses, 221 587
sensory, 219-221 vicarious, 167-172, 176, 202
visceral, 218-219 and vicarious conditioning, 23, 31—
see also Motivation 32, 172-175, 380
Drug effects and vicarious extinction, 177—192
on conditioning, 485-486, 504 Empathy, 171-172
on desensitization, 485 Ethical issues
on fear extinction, 407 in behaviorchange, 81-89, 112,
transfer to nondrug states, 485-486 234-240, 551-553
Dual-process theory in interview treatments, 60, 81-89,
and aversive counterconditioning, 112
501-502, 516-517, 553 and selection of objectives, 83-85,
of avoidance behavior, 41-42, 424- 98, 101-103, 112
425, 428, 490 Exhibitionism
role of arousal mediators in, 41-42, determinants of, 466, 477, 513
426-427 treated by
and vicarious extinction, 175, 191- aversive counterconditioning, 318,
192, 203 520
desensitization, 466, 477
Extinction
Electrophysiological changes in abreaction, 409-413
conditioning of, 20 of aggression, 106-107, 368-369,
extinction of, 394 379
Emotion of agoraphobic behavior, 393, 398
cognitive determinants of, 488-489 of anorexia, 245-246, 370-371
660 Subject Index

Extinction (continued) prior patterning of reinforcement,

of anxiety, 186-187, 362-363, 409- 27-29, 236, 355-357, 360, 365
413 prior reinforcement schedule, 27-
of anxiety to primary or generaliza- 29, 236, 360, 362, 366
tion stimuli, 395-396, 470- stimulus change, 361, 390-392,
471 414, 429, 440
aversive properties of, 359 variability in acquisition, 357,
of avoidance behavior, 175, 186- 360-361
190, 355, 362, 385-408 generalization of, 178, 179, 393
of battle anxieties, 396-397" through graduated performance
of claustrophobias, 393 tasks, 393, 397-399, 409, 451,
cognitive dissonance theory of, 475-476
364-366 group, 396-397
compared with of hypochondriacal complaints,
counterconditioning, 391-392, 372-373, 375-377
400-^01, 428-429, 435 and implosive treatment, 404
391-392, 400-401
flooding, influence of informative feedback
graduated extinction, 390-392 362, 398-399
in,
concomitant behavioral effects of, inhibition theory of, 356-357, 413,
50-51, 370 431
and conditioned relaxation proces- interference theory of, 357-359, 365
ses, 358 in interview procedures, 393, 409-
of conditioned suppression, 391- 413
392 through massed evocation of re-
as counterconditioning, 429-430 sponses, 358, 405-408
of crying, 377 through modeling procedures, 175-
under curare, 175, 304, 357, 428 192, 203
discrimination theory of, 336, 359- of motor dysfunctions, 333-334
364, 365 as a multiprocess phenomenon, 366
of disfluencies, 321-322 of neurodermatitis, 373-374
of echolalic speech, 156 of obsessive-compulsive disorders,
of electroencephalographic dis- 389-390, 393-396
charges, 394 partial reinforcement and, 27-29,
through exposure to threats gradu- 362, 368-369, 508-509
ated in aversiveness, 358, 390- and positive reinforcement of com-
397, 414 peting responses, 367, 369-
frustration theory of, 359-360, 365 370, 372, 375-377, 414
as a function of of positively reinforced behavior, 355
availability of alternative re- principle of, 355, 367, 413
sponses, 375, 413-414 through prolonged exposure to
cognitive influences, 336, 362- aversive stimuli, 399-405, 414
364, 386-387, 413, 581-583 of psychosomatic disorders, 374
deprivation conditions, 355 of psychotic verbalizations, 245,
discrimin ability of reinforcement 369-372
conditions, 336, 355, 360, 362, of public speaking phobias, 392
365, 508-509 resistance 27-29, 336
to,

distribution of responding, 356, through response prevention, 51,

406-408 358-359, 387-390, 414
effortfulness of response, 356, response substitution versus fear
366, 408 extinction in, 358-359, 388-
emotional arousal, 582 389, 400-401, 414
 Subject Index 661

role of discrimination in, 359—364, as delay of reinforcement, 383

378-388 as drive condition, 381
role of positive incentives in, 397— effects on behavior, 384
399 role of, in aggression, 381
of school phobias, 394, 398 Frustration-aggression hypothesis, 378
of seizures, 246, 394 Frustration reactions
of sexual inhibitions, 394 acquisition in nonfrustrating cir-
of social withdrawal, 162-163, 375- cumstances, 378-379
377 aggressive, 383
sources of reinforcement in, 356, direct training in, 77, 379, 383-384
358-359, 413 modeling influences in, 128-129,
spontaneous recovery after, 356 148, 193-195, 313, 379, 383-
symbolic, 402, 435-438 384
in sympathectomized animals, 426- nonaggressive, 159-161, 383
427 transfer of, 378-379
of tantrums, 151, 368-369
temporal course of, 329, 370, 374-
Generalization
378, 410-112
along associative networks, 603
of tics, 406-408
and awareness, 581
vicarious, 31-32, 118, 175-192,
and discrimination training, 24-25
202-203
effect of fear arousal on, 308-310
without performance, 175-179, 356-
of extinction, 177-178, 179, 187-
357, 361, 440
189, 390, 393, 395, 409, 430,
of writer's cramp, 333-335
449-451, 480
in interview therapy, 78-79, 165
mediated, 40, 567
Fetishism
through physical similarity, 13, 23,
established by masturbatory condi-
308, 395
519-520
tioning,
principle of, 470
experimentally created, 513, 519
of punishment effects, 308-310,
treatment by
591-592
aversive counterconditioning,
response, 39, 611
337-338, 505, 518, 523-524
semantic, 23, 40, 395-396, 567
aversive response consequences,
temporal, 301, 591
337-338
and transfer training, 246, 260, 327,
Freedom
335, 392
and determinism, 87-88
Generalized imitation
factors restricting, 85-87, 111
discrimination hypothesis, 125-127
and reciprocal influence processes,
under incentive control, 125
45-46, 48, 88
intrinsic reinforcement hypothesis,
and reductive explanations, 88
123-127
in social-learning theory, 87-88
Guilt, 618
Frigidity
determinants of, 469-470
extinction of, 394 Higher-order conditioning, 21-22,
treatment by desensitization, 469- 600-601, 603
470, 485, 525 Homosexuality
Frustration cross-sex modeling in, 513
as a condition of emotional arousal, established through masturbatory
381-382 conditioning, 520
definition of, 383 measurement of, 515-516
662 Subject Index

positive reinforcement of, 510-512 treatment by desensitization, 455-

predictors of response to avoidance 457, 467, 477-478, 485, 524
conditioning, 337 Incentive
treatment by acquisition of, 227-229
assertion training, 467-468 in attitude change, 608-612
Homosexuality, treatment by (con- contrast, 195, 244
tinued) and drive, 223-227
aversive control, 335-338 learning, 227-228, 238, 297
aversive counterconditioning, magnitude, 612
506, 510-511, 518-519; 522 Inhibitory effects
Humanism, and behavior therapy, 88, on aggression, 127-129, 193
112 of anticipatory consequences, 132,
300-301, 346, 530
defined, 192
Identification of direct versus vicarious punish-
compared with imitation, 118-120 ment, 193, 304-305
definitions of, 118-120 informational influences in, 30-31,
in interview psychotherapies, 165 203
learning-performance distinction in, and model characteristics, 194-
128-130 195
and model-observer similarity, 171- obscured by enhancement effect of
172 modeling cues, 192-193
see also Models, Modeling, Obser- and response consequences to
vational learning model, 30-32, 127-129, 174-
Imagery 175, 192-193, 203
in aversive counterconditioning, revealed by multiple procedures,
505-506, 516, 520, 527-528, 192-193
584, 623 of self-punishment, 193
definition of, 133 on self-reinforcement, 193
emotional conditioning of, 512, and severity of prohibition, 194
519-520 on transgressive behavior, 193,
as guides for response reproduction, 304-305
41, 133-135 and vicarious fear conditioning, 30-
in observational learning, 41, 133- 31, 174-175
135 see also Punishment, Vicarious re-
in paired associate learning, 41 inforcement
reduction of arousal potential, 516- Insight
518, 520, 527 compared with desensitization,
reinforcement of, 520 452-457
sensory conditioning of, 133 and credibility of therapists, 95-97
in symbolic desensitization, 473- defined, 93, 94
476, 506, 51&-517, 584, 623 and depth of interpretation, 92, 95-
Imitation, see Modeling, Observa- 97
tional learning and discrepancy of interpretation,
Implosive treatment 95-97
compared with flooding, 404 effect of selective reinforcement on,
efficacy of,403-405 9, 12-13, 98
rationale of, 402-403 emotional, 98
Impotence into hypothetical inner causes, 98,
and aggression anxiety, 467 590-591
and sexual anxiety, 468-469 intellectual, 98
 Subject Index 663

into reinforcement contingencies, Interview treatments

98-99, 568-579 client selection in, 52, 94
as 81—
a social-conversion process, common factors in rival schools, 52
83, 93-99, 112, 590-591, 593 counterconditioning in, 60, 483
into stimulus contingencies, 580- drop-out rates in, 52-53
582 efficacy of, 55-56
as a therapeutic objective, 92-93 ethical issues in, 60, 81-89, 98,
see also Awareness 101-103, 112
Insomnia, 460 experts and non-experts compared,
Instructional control 57-58
combined with response conse- extinction in, 60, 409-413
quences, 240-242, 573-574, and friendship experiences, 57-60
584-585 goals of, 72-73, 92-94
compared to reinforcement control, modeling influences in, 60, 81, 165-
241-242, 573-574 167
distinguished from verbal model- predictors of response to, 58-59
ing, 146 redefinition of objectives in, 103
establishment of, 370 and relationship factors, 76-80,
Internalization 483-484
affective feedback theory of, 301- selective reinforcement in, 9, 12—
305 13, 79, 81-82, 98, 259
central and peripheral theories com- as a social-conversion process, 81-
pared, 298-305 84, 93-99 112
and differential association, 618, as substitutes for natural gratifica-
621-622 tions, 59-60, 78-79
dissonance theory of, 305-308 and verbal conditioning, 54, 77, 93
through establishment of self-regu- Intragroup replication
latory functions, 585, 620-622 effects of modeling stimuli on, 266-
and external stimulus supports, 267
301-302, 616 Intrasubject replication
fear versus guilt controlled, 618 definition of, 26, 243
as a function of locus of punish- establishment of functional rela-
ment, 298-305 tionships,26-27, 243, 245-
as a function of severity of punish- 246, 283, 371-373, 375-377,
ment, 306-308 398-399, 518
and reinforcing and discriminative interpretive difficulties in, 243-244
functions of stimuli, 615-616 limitations of, 108-109, 243-244
role of powerful feature of, 243
anticipatory response conse-
quences in, 132, 305, 617, 623
discrimination processes in, 305, Language learning
616 in adult psychotics, 158
intrinsic sensory consequences, in autistic children, 142, 152-158,
237-238, 617, 624 244, 342
35-
self-evaluative consequences, effects of extrinsic incentives on,
623
38, 193, 585, 618, 155
and timing of punishment, 301-305 role of modeling in, 138, 149-158
through vicarious punishment, 192- in retardates, 154
193 of syntax, 156
Interoceptive conditioning, 22-23, 42, use of response guidance in, 156,
582 234
664 Subject Index

Learning-performance distinction Measurement of change

in autism, 151, 154-155 and baseline variability, 243, 248
in aggression, 128-129, 378-381 component analysis in multi-ele-
in instrumental learning, 224-225 ment methods, 189-191
in modeling theory, 128-130, 142- control techniques in, 55-56
143 criteria for, 53-54, 447^59, 540
Learning sets, 244 and drop-out rates, 54-55
improvement versus terminal per-
formance rates, 457, 540
Maintenance of behavior intergroup design, 182-188, 232-
achieved through 233, 246, 451-457
anticipatory consequences, 40, by intragroup replication, 263-267
132, 300-301, 303, 305, 346, by intrasubject replication, 26-27,
507, 530, 585-586 242-246, 371-373, 375-377,
intrinsic sensory consequences, 398-399, 518
219, 238 and intrasubject variability, 243
positive reinforcement, 62-63, in terms of
106, 200-201, 217, 225-232, response induction, 57
286, 461, 509, 512-514, 522, response maintenance, 57, 177—
602 178
reduction of aversive stimulation, response transfer, 57, 177-178
42-45, 51, 514 and uncontrolled influences, 243
self-reinforcement,35-38, 63, in verbal behavior, 54, 56
508-509, 585, 618 Modeling
social modeling, 200 of aggression, 128-129, 193-195,
threats of punishment, 306-307 313, 379, 383-384
and associational preferences, 621- of altruistic behavior, 196
624 in animals, 146-148
and changes in attitudinal effects of, 91, 167, 187-
amount of reinforcement, 236, 190, 597, 604-606
251, 283, 377, 620 of conceptual behavior, 148, 157
form of reinforcement, 237—239, contiguity theory of, 133-143
283 cross-sex, 513
locus of reinforcement, 236-237, and delay of gratification, 148
283, 377 delayed, 83, 147
effects of conflicting reinforcement of delinquent behavior, 109
on, 619, 621, 623 of deviant life patterns, 4
Mass media of disfluencies, 319
and attitude change, 599-602 effects ofambiguity on, 30
influence of, 196 effects of reinforcement on, 128-
as stimuli for aggression, 128-129, 131
193-194 and emotional arousal, 137
symbolic models in, 128-129, 196 of emotional responses, 166, 182
Masturbatory conditioning of euphoric behavior, 488—489
as a predictor of treatment out- in fixed-role therapy, 163-164
comes, 520 of frustration responses, 148, 159-
of sexual arousal to 161
fetishistic stimuli, 513, 519-520 generalized, 83, 123-127
heterosexual stimuli, 521 graduated, 74-75, 142, 153-154,
homosexual stimuli, 520 157, 161, 164, 182,233
in transvestism, 502 in group therapy, 166-167
 Subject Index 665

higher-order, 148-149 antisocial behavior, 620-621

of homoerotic behavior, 513 autism, 152-158, 342
and identification, 118-120, 165 interpersonal problems, 159-165
and innovative behavior, 148-149 schizophrenia, 158
in integrity therapy, 165-166 phobias, 75, 377
in interview treatments, 60, 81, 83, of value preferences, 166, 601, 604
165-167 see also Models, Observational
of linguistic responses, 142, 149- learning, Social facilitation,
151, 158, 342 Symbolic modeling
and model characteristics, 83, 136- Models
138, 147, 194-195 behavioral modeling stimuli, 145,
and model-observer similarity, 171- 240
172 effects of exposure to
of moral judgments, 144-145, 148 inhibitory and disinhibitory ef-
of novel responses, 148 fects, 118, 120, 192-196, 203
and nurturance, 130-131, 136-137, modeling effect, 118, 120-151,
139 202
and observer characteristics, 128- response facilitation, 118, 120,
129, 137 196-199, 203
of phonetic variations, 148 influence of characteristics of, 130-
of play patterns, 148, 157, 161 137, 147, 194-195
in psychodrama, 164 multiple, 137, 148-149, 178-180
and resistance to deviation, 194 pictorial and behavioral compared,
and response availability, 141-142 180
and response consequences to the pictorial modeling stimuli, 128-129,
model, 30-32, 120, 128-129 180
in role playing, 164, 165 symbolic, 128-129, 159-162, 179-
of self-control patterns, 35-38, 180, 182
620-621 verbal and behavioral compared,
of self-disclosure, 165-167 146
of self-evaluative responses, 33-35, verbal modeling stimuli, 145-146,
148 149-150, 240
sex differences in, 128-129, 137 Motivation
of sex responses, 512-514 drive theory of, 218-219
and social power, 136, 139-140, incentive theory of, 225—229
198 stimulus intensity theory of, 218-
of social responsiveness, 157, 162- 219
164 see also Drive
role of in sociocultural change,
200
of solutions to problems, 147, 159- Negative reinforcement, see Punish-
161 ment, Reinforcement, Rein-
of standards of self-reinforcement, forcement patterns, Self-rein-
33-35, 148, 620-621 forcement
of stylistic responses, 148 No-trial learning, 41, 118, 122, 127,
of syntactic structures, 149-151, 133-143
156 Novel responses
of teaching styles, 148 acquisition through modeling, 41,
of transgressive behavior, 193-195 118, 122, 127, 148
in treatment of and successive approximation, 143-
aggression, 76 144
666 Subject Index

Obesity role of reinforcement in, 128-131,

and external stimulus control, 255- 137-138, 142, 202
256 role of representational systems in,
treatment by 119, 133-135, 141, 147
aversive counterconditioning, see also Modeling, Vicarious classi-
506 cal conditioning
self-control procedures, 255-257 Obsessive-compulsive behavior
Observational learning under aggressive stimulus control,
affective feedback theory of, 130- 395
133 autonomic control of, 394-396
in animals, 146-148 under sexual stimulus control, 395-
associative interference in, 140- 396
141 under symbolic stimulus control,
associative theories of, 121 395-396
of behavioral rules, 149-151 treatment by
as classical conditioning, 121, 130- aversive counterconditioning,
133 505, 525-528
compared with trial-and-error learn- desensitization, 395-396, 460
ing, 143-145 389-390, 393-396
extinction,
contiguity-mediational theory of, Overdependency, 47, 246, 368
133-143, 202
and discriminability of modeling
stimuli, 138, 149-150 Pedophilia
as discrimination learning, 122-123 treatment by assertion training,
effect of 467-468
attentional processes on, 130, treatment by symbolic aversion
136-138, 140, 146-148, 152- methods, 518
153, 157-158 Peripheralist and centralist theories
covert rehearsal on, 139-140, of classical conditioning, 21, 131-
148 132, 580-584
imaginal coding on, 127, 133- of extinction, 131-132, 359-364
135, 202 of instrumental learning, 223-225
model characteristics on, 136— of observational learning, 121-143
138 of punishment effects, 300-301,
observer characteristics on, 128— 303-305, 346
129, 137, 147 Phobic behavior
organizational processes on, 127, determinants of, 11-13, 167
140-141 treatment by
overt rehearsal on, 139-140 desensitization, 105, 186-189,
sensory-motor deficiencies on, 443-460, 474
141-142, 147-148, 153 extinction, 387-401
verbal coding on, 127, 133-135, implosive methods, 402-405
202 modeling, 175-191, 451
instinct doctrine of, 120-121 positive reinforcement, 189
intrinsic reinforcement control of, Positive reinforcement, see Reinforce-
123-127, 130-133 ment, Reinforcement patterns,
matched-dependent, 122 Self-reinforcement
without reinforcement, 118, 127, Private events
130 predictive valueof, 38-39, 572

reinforcement theories of, 121-130 and self-generated stimulation, 39,

and response integration, 134-135, 171, 202, 364, 382, 431, 448,
141 505-506, 525, 527, 584-586
 Subject Index 667

in self-regulation of behavior, 40- definition of, 295

45, 63, 133-135, 140-141, direct and vicarious compared, 193,
585-587 304-305
Psychopathology discrimination property of, 296-
of, 426-427, 431
anxiety theory 297
demonology model of, 1 effectiveness, 294, 338, 344
psychodynamic and social-learning effects on concurrently rewarded
approaches to compared, 9-16, behavior, 295, 307, 313-314
48, 62 and fear conditioning, 295-296,
quasi-disease concept of, 1-3, 10 310, 340, 346
value judgments in, 2-9, 62 and generalization of inhibitory
see also Deviant behavior effects, 308-310, 331-332
Psychosomatic disorders informative value of, 30-31, 203,
conditioning 20—21
of, 296, 316
extinction of, 372-377 intensity of, 295, 306-308, 314
reinforcement of, 372-374 intermittent, 295, 336
treatment bv desensitization, 435, locus of aversive control
460 in central processes, 300-305,
Psychotic verbalizations, 245, 369-372 346
Punishment in environmental stimuli, 298-
through anticipatory representation 300, 346
of response consequences, in the punished behavior, 298-
300-301, 303, 346 300, 346
and availability of alternative re- long term effects, 314-315
sponses, 295, 314-315, 339, multiprocess explanation of, 297-
346-347 298
and avoidance learning, 296 negative modeling in, 313
and avoidance of punishing agents through negative self-evaluations,
and situations, 312-313, 340 33, 193
and behavioral inflexibility, 310- noncontingent, 339-340
311, 314-315 by presentation of aversive stimuli,
combined with 294, 310, 346
discrimination procedures, 310, provocation of, 334
346 by reinforcement withdrawal, 294,
extinction, 314, 329, 341-342 310, 313, 338-346
immediate reward followed by reinforcement withdrawal com-
punishment, 302 pared to presentation of aver-
modeling, 312, 316 sive stimuli, 310, 312-313,
positive reinforcement of compet- 340-341
ing responses, 293-294, 316, response-contingent versus verbal
329-330, 338, 342, 347-348 threats, 306-307
stimulus control procedures, 316 and response inhibition, 296, 308-
comparison of response-contingent 310
and stimulus-contingent, 298- self-administered, 33, 193, 257,
300 297, 324
competing response theory of, 296, timing of, 295, 301-305, 311, 509
346 in treatment of
and concomitant positive behav- aggression, 106-107, 343-345
ioral effects, 312, 343 fetishism, 337-338
conditioned emotionality theory of, motor dysfunctions, 332-335
31-32, 295-296 self-injurious behaviors, 328—
under curare, 296, 304 332, 341-342
668 Subject Index

Punishment, in treatment of (contin- arbitrary, 238, 613

ued) associative strengthening theory of,
sex behavior, 335—338 222-223, 282, 565-566, 568,
speech disorders, 321, 323-327 622
tics, 334-335 of attending responses, 137-138,
undesirable side-effects, 308-313, 153
317 and attitude change, 609-612
vicarious, 118, 128-130, 166, 174- of autonomic responses, 25
175, 192-193, 203, 296 of avoidance behavior, 389-399
see also Reinforcement withdrawal, brain stimulation, 222, 374
Self-punishment, Vicarious central, 222
punishment changes in amount, 236, 612-613,
620
combined with instructions, 240-
Quasi-disease model 242, 573-574, 584-585
adverse consequences of, 16-19 combined with modeling, 153-157
of deviant behavior, 1-3, 10 of competing behavior, 293-294,
316
in contiguity theory, 128-131, 137-
Reading acquisition 138, 142, 224-225
associative processes in, 156, 248 contrast effects, 195, 244
through computer-assisted systems, of cooperative behavior, 238, 280
253 of covert responses, 576, 623
in culturally deprived children, 251 definition of, 222
in delinquents, 250-251 delayed, 29, 200-201, 229, 231,
role of discrimination processes in, 267, 509
248-249 and deprivation conditions, 219, 227
effect of incentives on, 226 in desensitization treatment, 448,
Reciprocal influence 451
in aggression, 46-48 of deviant sexual behavior, 469,
through aversive control, 47-48, 512-514
105, 366-367 differential, 23-25, 47
of behavior and its controlling con- of disfluencies, 319
ditions, 45-18, 63, 106, 343, drive-reduction theory of, 218-219,
347, 509, 547-548 223
deleterious, 47-48 empirical law of, 222
environment as dependent variable, by fear reduction, 43, 51, 310, 319-
46 320, 359, 385-386, 414, 514
in parent-child interactions, 47-48, through fistula feeding, 218-219,
106 223
and self-determination, 46, 48, 88 group, 280-282
in social behavior, 46-47 of hypochondriacal complaints,
Reinforcement 372-373
of academic achievement, 233 of hypotheses, 566-567
adventitious, 405-406 of imitative behavior, 128-130,
of aggression, 6-7, 14, 47-48, 76, 142, 153-157, 202
246, 368, 379-381 incentive theory of, 223-225, 282
in alcoholism, 529-530, 533, 535- and influence of social variables,
537 444
of approach responses, 189, 246, informative function of, 30-31,
397-399 224-225, 566, 575-576
 Subject Index

in interview treatments, 9, 12-13, symbolized versus actual, 573-574,

79, 81-82,98 585
intravenous, 218-219, 223, 576 tangible versus social, 226-227, 238
intrinsic, 28, 229, 232, 238-239, of verbal behavior, 9, 12-13, 79,
283 155, 258-260
in language learning, 149-150, 155 vicarious, 30-32, 128-131, 160-
magnitude, 612 161, 174-175, 192-196,
166,
in modeling, 128-131, 137-138, 200, 203, 304-305, 514
142 see also Contingencies of reinforce-
monetary, 238, 548-549 ment, Punishment, Reinforc-
noncontingent, 35-36, 76-79, 155, ers, Reinforcement patterns,
229-230, 263-266, 339, 609- Schedules of reinforcement,
610, 614 Self-reinforcement
by pain cues, 344 Reinforcement patterns
partial, 27-29, 236, 250, 336, 508- conflicting with behavior of models,
509 313
peer, 237, 247, 273, 281 and discrimination training, 14
of psychosomatic conditions, 373- punishment-nonreward sequence,
374 195
of psychotic behavior, 4-5, 27, reward-nonreward sequence, 195
245-246 reward-punishment sequence, 195,
of psychotic verbalizations, 369- 302
370 see also Schedules of reinforcement
in reading acquisition, 226, 248- Reinforcement withdrawal
250 aversive properties of, 339-340, 531
relational properties of, 222, 223, compared with aversive stimuli as
244, 282, 296-297 punisher, 310, 312-313, 340-
resolution of circularity, 222-223 341, 347-348
response-contingent versus time- in control of aggressive behavior,
contingent, 124-125, 155, 230 106-107, 343-345
response-probability principle, 221- factors determining its effective-
223, 229 ness, 338-339, 345-346
of rule statements, 567 as a punishment procedure, 294,
and self-concept, 32-34, 615 338-346
of self -injurious behavior, 246, 328- in treatment of self-injurious be-
329 havior,328-332, 341-343
of self-management 248
skills, see also Punishment
254
in self-instructional systems, Reinforcers
self-reinforcement, 32-38, 82, 238- actual versus imagined, 585
239, 256-257, 505-506, 508, brain stimulation, 374
527, 552, 586-587 cultural conditioning of, 511-512
self versus external, 35-37, 42-45 development through aversive stim-
sensory, 219-221, 223 ulation, 227
social, 26-27, 77-78, 220-228, 237, development through rewarding ex-
245-248, 271, 283, 341-342, periences, 227-228, 238, 297
370 effects of deprivation conditions
of social behavior, 26-27, 232-233, on, 219,227
248 generalized, 228-229
of social withdrawal, 26-27, 237, incentive function of, 223-229
245 informative function of, 30-31,
stimulus reduction theory of, 218 224-225, 566, 575-576
670 Subject Index

Reinforcers (continued) influence of models on, 194

monetary versus accuracy feedback, influence of punishment on, 296,
238 301-310
negative, 294, 324, 338, 341 and response consequences to
pain cues as, 379-380, 511 model, 30-32, 127-129, 174-
pharmacologic, 529-530, 533 175, 192-195, 203, 304-305
preferred activities as, 221-222, and self-punishment, 193, 618
229, 587 and timing of punishment, 301-304
primary, 226, 236-237, 529-530, see also Inhibitory effects, Vicarious
573 punishment
related to developmental level, 235, Resistance to social change
238 and conflicting belief systems, 199,
self-administered, 32-38, 256-257, 201
324-327, 505, 508-509 due to inadequate reinforcement,
sensory, 219-221 199-201
social, 26-27, 77-78, 226-228, 237, by vested interests, 200-201
245-248, 271, 283, 341-342, Response induction
370 comparison of
stimulus change, 219 instructions and reinforcement,
symbolic, 151, 227, 232, 236, 238- 104-105, 108, 240-242
239, 254, 271, 283, 397-398, reinforcement and modeling,
448-449, 548 144-145, 147, 150, 189
tangible versus social, 226-227, 238 reward and punishment, 242
tokens as, 228-229, 238, 262-269, verbal and behavioral modeling,
273, 278-280 146
transsituational, 222-223 through differential reinforcement,
unobservable, 218-219, 225, 576 143-144, 159, 232-233, 283,
Representational systems 512
characteristics of, 40^42 through instructions, 104, 108, 146,
conditioning and, 133 234, 240-242
imaginal, 41, 133-135 through manual guidance, 153,
in observational learning, 133-135, 156-157, 234
140-141, 147-148 through modeling, 75, 145-146,
performance guiding function of, 159-162, 166, 175-190, 200,
40-41, 45, 119, 133-135, 141, 233, 240, 283, 377-378, 512-
566-567 514
verbal, 40, 133-135, 566-567 through punishment, 296
Repression Retention
learning and psychodynamic theo- and covert rehearsal, 139-140
ries compared, 591—593 effect of coding operations in, 133-
learning mechanism of, 526, 591- 135, 138-141, 147
592 effect of organizational processes in,
as thought inhibition, 591 140-141
Resistance to deviation of modeling stimuli, 127, 133-135,
and anticipatorv consequences, 132, 138-141, 148
300-301, 303, 617 and overt rehearsal, 139-140
and classical conditioning of emo- role of reinforcement in, 142
tional responses, 301-304 Role enactment
direct and vicarious punishment attitudinal consequences of, 165
compared, 193, 304-305 of conflicts versus constructive al-
fear versus guilt control in, 618 ternatives, 159-162, 164-165
 Subject Index 671

in fixed-role therapy, 163-164 School phobia, 246

for instilling self-regulatory func- Seizures, 246
tions, 620-621 Self-actualization, 73, 83-84
as a therapeutic technique, 161, Self- concept
163-167 and behavioral deficits, 91, 614-
see also Modeling 615
Rule learning changes following reinforcement,
in concept formation, 40 91, 615
through differential reinforcement, Roger's position, 614
566-567
40, 45, 156, self-reinforcement mechanism in,
through modeling, 149-150 33-34, 614
in verbal conditioning, 40-41, 566- see also Self-reinforcement, Self-
567 punishment, Self-evaluation
see also Concept learning Self-control
achieved through
alteration of stimulus conditions,
255-257
Sadistic fantasies anticipatory consequences, 40,
reduction through aversive condi- 42-45, 132, 530
tioning, 520-521 competing activities, 256-257
as stimuli for sexual behavior, 521 contingency management, 89,
Schedules of reinforcement 108, 585
aversive aspects of, 28 contractual agreements, 255
cognitive influences on, 573-574 differential reinforcement, 29,
combined, 29 340
continuous, 27 modeling, 32-38, 192-196
delayed reinforcement, 29 narrowing stimulus control, 255
differential reinforcement of low self-instruction, 40
rate, 29 self-reinforcement, 35-38, 63, 88,
discriminability of, 28, 336, 355, 108, 256-257, 300-301, 507,
360, 362, 365, 508-509 552, 585-586
extinction following, 27-29 and delay of reward, 29
fictitious versus actual compared, influence of reinforcement feedback
573-574 in, 255
fixed-interval, 27-28, 573 of obesity, 255, 258
28
fixed-ratio, role of proprioceptive conditioning
and maintenance of behavior, 27- in, 130-132
29, 236, 360, 362, 366, 368- of smoking, 255, 585-586
369, 508-509 symbolic aversive countercondition-
preference for, 28 ing, 507-508
progressive ratio, 228 of thought processes, 586-587
and response inhibition, 29, 336 Self -definition of deviance
and response strength, 27-29 faulty, 447
self-imposed, 35-37, 254-255 versus social definition, 8
variable-interval, 28, 236, 573 Self-determination
variable-ratio, 28-29, 236, 573 and causation, 87-88
see alsoReinforcement, Self-rein- as limited by
forcement behavioral deficits, 86
Schizophrenia, treatment of, 55-58, self-restraints, 85-86
158, 232-233, 246, 262-278, socially imposed restrictions, 86-
369-373 87
672 Subject Index

Self-determination, as limited by (con- behavior maintenance function of,

tinued) 35-38, 239, 508
socially sanctioned discrimina- of cognitive activities, 587, 623
tion, 87 compared with external reinforce-
and self-control processes, 88, 239 ment, 35-37, 82
Self-evaluation conflicting with external reinforce-
effects of behavioral deficits on, 73, ment, 36-37
614-615 and conflicting modeling cues, 33
modeling influences in, 33-35 and conflicts between modeling and
reinforcement influences in, 32-34, reinforcement, 34-35
615 covert, 585-586, 623
and self-exploration,614 defined, 32
and task experiences, 613-614 developed through differential rein-
see also Self-concept, Self-punish- forcement, 32-34
ment, Self-reinforcement developed through modeling, 33-
Self-injurious behavior 34, 620-621
in autism, 328-329 of deviant behavior, 193, 505-506,
eliminated through 508, 527, 552
aversive consequences, 328-332, direct training in, 620-621
341-343 of disfluencies, 323-332
reinforcement of incompatible be- in psychopathology, 37-38, 549,
havior, 328 614
reinforcement withdrawal, 329, role of social comparison processes
341-343 in, 34
extinction-elicited, 328 and self-concept, 33-34, 614
maintained by anticipated conse- in self-control, 35-37, 88, 255, 257,
quences, 297 586, 620-622
reinforced by positive social conse- and self-esteem, 33-34, 73
quences, 328-329 see also Self-concept, Self-evalua-
in retardates, 343 tion, Self-punishment
Self-instructional systems Self-stimulation mechanism
advantages and limitations of, 252 in aggression, 382
and attitudinal changes, 253 in aversive counterconditioning,
compared with traditional instruc- 506, 518, 520-521, 527-528,
tion, 253 539, 584
computer-assisted, 252 in classical conditioning, 202, 443,
linear versus branching sequencing 507-508, 553, 580-583
in, 254 in desensitization, 473—474, 584
reinforcement in, 254 and emotional arousal, 39, 171, 202,
in symbolic learning, 251, 253 364, 431, 448, 580
Self-punishment in extinction, 364
covert, 185, 585, 623 in modeling, 133-135, 140-141
through negative self-evaluation, Sensory preconditioning, 22, 224
33, 193 Sensory reinforcement
role of in internalization, 193 and aversive stimulation, 220
in self-control, 185-187, 257 defined, 219
through self-denial of rewards, deprivation conditions, 219
33 neurophysiological explanation of,

see also Self-reinforcement 220-221

Self-reinforcement theories of, 219-221
of achievement standards, 33-34 variables affecting, 219
 Subject Index 673

Sexual arousal behavior problems in educational

conditioned through masturbation, settings, 262
502, 519-520 character disorders, 262
cross-cultural variations in, 511-512 delinquent adolescents, 262, 273,
higher-order conditioning 513 of, 278-280
measurement of, 515-517, 522 institutionalized psychotics, 262-
reduction through aversive counter- 269
conditioning, 516-518, 527 retarded children, 262
Sexual behavior characteristics of, 262-263
cross-cultural comparisons, 511—512 progressive change with behavioral
discrimination training in, 512 improvement, 274-275
hormonal control of, 521 replicative control through, 263-
positive reinforcement of, 512-514 267
Sexual deviance Skid Row
cross-sex modeling 513 in, drinking patterns in, 550
cultural variations, 511—512 functions 550
of,
direct modeling in, 512—514 social norms in, 550
and establishment of heterosexual Social change
behavior, 522-525 behavior-oriented approach to, 200
experimentally created, 513, 519 belief-oriented approach to, 200
fantasy-induced, 511, 519-520 and delayed reinforcement, 200-201
and hormonal factors, 521 and disease model of deviant be-
maintaining mechanisms in, 469, havior, 18
502, 512-514, 520 effect of vicarious reinforcement on,
through masturbatory conditioning, 199-200, 381
513-514 through group reinforcement, 201
modeling influences in, 512-514 and inspectional benefits, 200-201
reinforced through tension-reduc- maintenance of, 200
tion, 514 need for appropriate models, 200
reinforcement patterns in, 469, 511 negative consequences of, 199-200
role of erotic conditioning in, 513- reinforcement influences in, 200
514 social alienation in, 613
stimulus determinants of, 466-^170, value conflicts in, 109-111, 619,
510 621-622
treated by Social comparison processes
assertion training, 467-470 in emotional behavior, 488-489
aversive counterconditioning, 505- in self-reinforcement, 34
506, 515-525, 553 in vicarious reinforcement, 32
desensitization, 466 Social facilitation
differential reinforcement, 335- and discriminative functions of mod-
338 eling cues, 136, 196-197, 203
extinction, 394 in ethology, 197-198
see also Exhibitionism, Fetishism, influenced by
Frigidity, Homosexuality, Im- model attributes, 136, 198, 203
potence, Pedophilia, Transves- observer characteristics, 136—137
tism reinforcement contingencies, 198
Simulated economy systems learning analysis of, 198-199
applied to and mimetic behavior, 197-198
academic underachievers, 262, by prestigeful models, 136, 199
278-280 through selective reinforcement,
alcoholics, 262, 548-549 136, 196-197
674 Subject Index

Social facilitation (continued) reinforcement mechanisms in, 319-

and stimulus enhancement effects, 323
198 role of modeling influences in, 319
Social-learning theory semantic-learning approach to, 318
of aggression, 378-384 and sound discrimination, 138
of alcoholism, 533-537 stimulus control of, 318
of classical conditioning, 580- stress-induced, 320, 327
581 and timing of punishment, 321-322
of empathy, 171-172 treatment by
of observational learning, 133-143, aversive consequences, 323-327
202 desensitization, 327-328, 460
of psychopathology, 10-16, 48, 62 extinction procedures, 321-322
and repression, 591—593 reinforced modeling, 152-159
of sexual deviance, 511-514 reinforcement and desensitiza-
of self-concepts, 613-615 tion, 328
and the unconscious, 586-594 Speech phobias
of vicarious conditioning, 167 extinction of, 394, 398
Social norms treatment by desensitization, 435,
in deviant behavior, 3-4, 6-7 452-455
transmission of, 620-621 Stimulus coding, 127, 133-135, 140-
Social reinforcement, 26-27, 77-78, 141, 564
226-228, 237, 245-248, 271, Stimulus control
283, 341-342, 370 by abstract property, 40, 567
Social subsystems of aggressive behavior, 24, 132
behavioral roles in, 275 of asthma, 20-21
compared with institutional treat- of attitudes, 598-599
ment, 275-278 and attribute learning, 40, 149
as a semi-autonomous subcommu- of autonomic responses, 19-23
nity, 278 aversive, 41-42, 424-425
as a transitional facility, 269 of avoidance behavior, 12-13, 386,
Social withdrawal 425
extinction of, 375-377 by common property, 40, 567
treatment by differential reinforce- complex, 40
ment, 26-27, 237, 245 in concept formation, 40, 149, 567
treatment by symbolic modeling, defective, 42-45
162-163 of deviantsexual behavior, 466,
Speech disorders 477, 517, 523-524
in autistic children, 152-158 of eating behavior, 255
conditioned emotionality theory of, of emotional behavior, 462-472
320 and errorless discriminations, 440
echolalic, 156 established through
effects of noncontingent punish- classical conditioning, 19—23, 62
ment on, 320 differential reinforcement, 24-25,
effects of response-contingent pun- 62-63, 249
ishment on, 318-319 vicarious conditioning, 23
experimentally produced, 323 vicarious reinforcement, 30-31
and mislabeling of natural disflu- and fading procedures, 157, 234,
encies, 318 249, 283, 440
personality correlates of, 318 by fantasied events, 517, 519-520,
recovery from without treatment, 527-528
321 generalized, 25
 Subject Index 675

inappropriate, 510 of modeling stimuli, 119, 127, 133-

of instrumental behavior, 23-25 135, 140-141, 147-148
internal, 22-23, 40-45 of response consequences, 132, 171,
and internalization, 615-617 300-301, 303, 305, 346, 507,
modeling, 157, 199, 266-267, 379 530, 585-586, 617-618
multiple, 465, 472 of rewarding activities and objects,
narrowing, 25, 255 505, 511, 519-520, 527-528,
of observing behavior, 234 584
of obsessive-compulsive behavior, of threats, 385,389-390, 443, 473-
395-396 474, 483, 580, 584
and rule learning, 40-41, 149-150, see also Cognitive control, Repre-
566-567, 577 sentational systems
of seizures, 394 Symptom substitution hypothesis
of self-injurious behavior, 328 and alternative treatments, 50-52
of speech disfluencies, 318, 320, evidence against, 48, 91, 187-189,
327-328 268, 329-332, 343, 368-370,
symbolic, 395-396 377, 389, 454-455, 457-458,
of thought processes, 586 465, 510, 516-518, 527, 547-
transfer of, 157, 234, 428, 440 548
weak, 151, 227, 232, 594 and modification of causal condi-
Subliminal stimulation tions, 48-51
behavioral effects of, 589-590 and nature of response hierarchies,
cognitive effects of, 593-594 50-51
compared with supraliminal stimu- restatement of, 48—49
lation, 100, 593-594 verifiability of, 49
emotional effects of, 589-590 Symptoms
methodological problems in, 588- and aversive properties of behavior,
589, 594 5
3,
Symbolic modeling as behavior controlled by unusual
attitudinal effects of, 187-188, 597, reinforcers, 501-502, 519-520
604-606 and competency standards, 5-6
compared with definitional problems, 2-9
desensitization, 186-189 laboratory production of, 9-10, 49-
modeling, 179-180
live 50, 513
participant modeling, 186-189 as normatively sanctioned behavior,
extinction of avoidance behavior by, 3-4, 6-7
179-180, 182-191 and radical changes in reinforce-
extinction of fear arousal by, 191- ment contingencies, 4
192 as reflecting bizarre learning contin-
and mass media effects, 128-129 gencies, 4-7, 9-10
self-administered, 183 value judgments in labeling of, 2-
in treatment of 9
aggression, 159-161 see also Deviant behavior, Psycho-
phobic disorders, 179-180, 182- pathology
191
social withdrawal, 162-163 Tantrums
see also Modeling, Observational aversive control through, 47-48,
learning 105, 151, 343, 368-369
Symbolic representation extinction of, 151, 368-369
emotional conditioning of, 39, 473, treatment by reinforcement with-
512, 519-520 drawal, 48, 341-343
676 Subject Index

Thalamic stimulation, and aggressive between response sys-

as disparities
behavior, 383 587-593
tems,
Thought processes and perceptual defense, 100, 587-
and associative networks, 39, 587, 588
603 and pseudo-explanations, 592-593
conditioning of emotions to, 39, 473, psychoanalytic theory of, 588, 590-
519-520, 526-527 591
controlled by and subliminal conditioning, 588
586-587
attention al change, and therapeutic implications, 593
external reinforcement,567
punishment, 525-528, 591-592
self-reinforcement, 39-40, 587 Value judgments
intrusive, 527, 586 and definition
reduction of arousal potential, 516- of aggression, 5
518, 520, 527 of psychopathology, 2-9, 62
see also Cognitive control, Imagery, and empirical issues, distinguished,
Symbolic representation 101
Tics positive mental health, 99
and advantitious reinforcement, in selection of objectives, 81-89. 98,
405-406 101-103, 109-111
anxiety theory of, 405^106 Value preferences
effect of self-control on, 334-335, acquired by modeling, 166
408 altered through selective reinforce-
self -rein forcing character of, 406, ment, 613-614
464 and response consequences to
stress-induced, 406 model, 601, 604
treatment by Verbal conditioning
aversive consequences, 334-335, cognitive theory of, 566, 622
406 as a function of awareness, 99-101,
extinction, 406-408 260, 568-576
Trait theories hypothesis-testing theory of, 260,
assumptions in, 14 566
and behavioral specificity,14-15 in interview therapies, 9, 12-13,
predictive efficacy of, 14—15 79-82, 93-94, 98
Transvestism nonmediational theory of, 260, 565-
reinforced by 566, 622
sexual gratification, 502 and partially correlated hypotheses,
social approval, 511-512 568, 570, 575
stress-reduction, 514 reciprocal interaction theory of,
treatment by aversive counter con- 566-567, 577, 622
ditioning, 502-503, 516-518, role of incentives in, 566, 577-579
524-525 transfer to social behavior, 259-260
variables affecting, 258-259, 577-
578
Vicarious arousal
Unconscious through affective modeling cues,
definition of, 590 23, 31-32, 167-172, 176, 202
and differential reinforcement proc- effect of paired consequences on,
esses, 590 170-171, 202
and discrimination without aware- effect of perceived similarity on,
ness, 587-590 171-172
 Subject Index 677

effect of social deprivation on, 170 of aggression, 128-129,160-161

mediated through self-stimulation, and attitude change, 601
171, 202 compared with direct punishment,
and pseudo-vicarious arousal, 168— 193, 304-305
169 effect on matching behavior, 118,
stimulus generalization in, 170 166, 203
Vicarious classical conditioning Vicarious reinforcement
in animals, 172 of achievement standards, 33
attenuated through cognitive influ- of aggressive behavior, 128-129,
ences, 174 160-161, 193-195, 379
of autonomic responses, 23 definition of, 30
in aversive therapy, 175 effect of social variables on, 30, 32
and behavioral suppression, 174— effects on self-disclosure, 166
175 explained in terms of
defined, 167 emotional conditioning, 31-32,
effect of emotional arousal on, 173- 203
174, 380 incentive functions, 31, 203
sources of emotional arousal in, 167 informative functions, 30-31, 203
Vicarious extinction social evaluation processess, 32,
in animals, 175-176 203
attitudinal accompaniments of, of interpersonal behavior, 162
187-190, 597, 604-606 in promoting attitude change, 600-
definition of, 175 601, 604
dual-process theory of, 175, 191- and resistance to deviation, 174-
192, 203 175, 192-196, 203, 304-305
effect of anxiety-neutralizing activ- role of social comparison processes
ities on, 178, 182, 187-188, in, 32
191 in sociocultural change, 199-200
effect of emotional proneness on, of transgressive behavior, 192-195,
179 304-305
generalization of, 178, 187-189 variables affecting, 30
and graduation of modeling stimuli, see also Vicarious punishment
176-177 Voyeuristic behavior, 513-514
influence of model's affective ex-
pressions on, 176-177 Writer's cramp
informational influences in, 189- eliciting stimuli of, 332—333
190 personality correlates of, 332
multiple versus single modeling, treatment
178-181 aversiveresponse consequences,
of phobias, 75, 177-191, 451 332, 334-335
of social anxieties, 162-163 desensitization, 333-334
Vicarious punishment extinction, 333-335